Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 22, 2018 indicate that Connecticut-based Pruco Securities broker/adviser Vaughn Andrews-McKay has been sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Andrews-McKay (CRD# 6491985).
Vaughn Andrews-McKay has spent two years in the securities industry and was most recently registered with Pruco Securities in Shelton, Connecticut (2015-2018). He has no previous registrations. He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 10, 2015, and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on August 25, 2015. He is currently not registered with any state or firm.
According to his BrokerCheck report, Vaughn Andrews-McKay has been sanctioned by FINRA and was discharged from his former employer in connection to alleged rule violations.
In May 2018 FINRA sanctioned him in connection to allegations he converted funds totaling more than $47,700 from firm clients “by using false pretenses to convince them to write personal checks” which he claimed would be used to satisfy their financial obligations and by writing checks to himself from a customer’s checking account, forging that customer’s signature on the checks without that customer’s knowledge or permission. In both cases, according to FINRA’s findings, Mr. Andrews-McKay deposited the funds into a bank account he controlled and used them for his own personal ends. He was indefinitely barred from acting as a broker or otherwise associating with a broker-dealer firm.
In April 2018 he was terminated from his position at Pruco Securities in connection to allegations he misappropriated client funds, forged a client’s signature on “multiple checks taken from her,” did not disclose a gift he received from a client, and did not disclose an outside business activity.
If you have lost money investing with Vaughn Andrews-McKay, you may be entitled to recoup your losses. Call Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis, which means we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.