TAG | failure to respond to FINRA request about outside brokerage account
Enrique Roy (CRD #5339904, Registered Representative, Miami Beach, Florida)
has been barred from association with any FINRA member in any capacity.
This FINRA sanction was based on their findings that Enrique Roy failed to respond to requests from FINRA for information about an outside brokerage account at a member firm he had opened on a customer’s behalf.
FINRA’s findings stated that they dismissed the allegation that Roy failed to give his firm notice of an outside brokerage account.
(FINRA Case #2010023375101)
This information appeared on FINRA’s website under “Disciplinary and Other Actions, June, 2012.”
Securities Lawyer, Lars K. Soreide, of Soreide Law Group, PLLC, has represented clients nationwide. If you have sustained investment losses due to your stock broker or financial advisor’s recommendations, please call for a free consultation on how to potentially recover your losses. To speak with an attorney call 888-760-6552, or visit our website at: http://www.securitieslawyer.com.
Soreide Law Group, PLLC., representing investors nationwide before FINRA the Financial Industry Regulatory Authority.
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