Articles Tagged with Pamela Shuttleworth

AdobeStock_66548440-1-300x169The Financial Industry Regulatory Authority (FINRA) has barred former Comprehensive Asset Management broker Pamela Shuttleworth, from the securities industry. Ms. Shuttleworth had violated securities laws and internal firm rules. Ms. Shuttleworth failed to respond to a FINRA investigation against her, which resulted in her automatic bar. FINRA was investigating her regarding allegations that she was the supervisor responsible for monitoring the emails of a former representative of her brokerage firm, Comprehensive Asset Management. Pamela Shuttleworth was a registered representative of Comprehensive Asset Management and Servicing from December 2014 until June 2017. She worked in the Parsippany, New Jersey branch. Comprehensive may be liable for losses in the FINRA arbitration forum because the firm had a duty to reasonably supervise Shuttleworth while she was employed there. We take cases on a contingency fee basis only.

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