INVESTOR WARNING! Investigation of FREDERICK HOLLOWAY of Easton, MD
Frederick Holloway, with Holloway & Associates, Subject of FINRA Complaint
Have you lost money with financial advisor Frederick Holloway of Easton, Maryland? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Frederick David Holloway. FINRA was investigating Holloway regarding several allegations, including that: a) Holloway recommended the exchange of variable annuities for a customer without a reasonable basis for the exchange; b) Holloway failed to conduct a meaningful comparative analysis between the two variable annuities; c) Holloway had his clients sign incomplete paperwork which he later filled in and/or photocopied for use in other transactions; and d) he also forged clients’ signatures and initials on paperwork. FINRA seeks to punish Holloway for this conduct.
Frederick Holloway was a financial advisor and registered representative of Holloway & Associates from 1982 to the present. He is the only representative of Holloway & Associates. He worked at a branch office in Easton, Maryland.
Brokerage firms like Holloway & Associates have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Ann Arbor, Michigan; and Seattle, Washington. We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout Maryland. Our attorneys have represented over one thousand investors against many brokerage firms in the past.
Click to view: Holloway, Frederick BrokerCheck 8.2.18
Click to view: Holloway, Frederick FINRA Complaint
If you lost money with Frederick Holloway or Holloway & Associates, please CONTACT US at 720-599-3505 for a free evaluation of your case.
Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.