Arizona Broker Janie Garza-Clark Barred by FINRA
Summary
The AWC also provides details relating to the agreed upon penalties that are being imposed as part of the settlement, which can include a cease and desist, fine, suspension, bar, or combination thereof. Penalties vary from cease and desist of the alleged wrongdoing and typically includes a fine, a suspension, a bar or a combination of thereof. Garza-Clark first entered the securities industry as Investment Company and Variable Contracts Products Representative and associated with a FINRA member firm. In July 2017, Garza-Clark associated with TCFG Wealth Management, LLC and registered with FINRA as an Investment Company and Variable Contracts Products Representative. According to FINRA BrokerCheck, in June 2020, a customer alleged that the sale of an unsuitable investment resulting in loss of $950,000.