CAROLINE MOHAN Barred by FINRA

Soreide Law Group, based in Pompano Beach Florida, has obtained the following information from FINRA’s Disciplinary report from January of 2022.
CAROLINE MOHAN (CAROLINE REYES, CRD#: 2429577, West Palm Beach, Florida) has been barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm.
On November 22, 2021, an Acceptance, Waiver, and Consent (AWC) was issued in which CAROLINE MOHAN was barred from association with any FINRA member in all capacities. Mohan was previously registered both as a broker and as an investment advisor.
Without admitting or denying FINRA’s findings, CAROLINE MOHAN consented to the sanction and to the entry of findings that she allegedly refused to appear for on-the-record testimony requested by FINRA during its review of a Form U5 filing submitted by her member firm stating that she had voluntarily resigned while under internal review for potential involvement with undisclosed outside business activity (OBA) and participation in private securities transactions.
(FINRA Case #2021070667501)
According to FINRA’s BrokerCheck, CAROLINE MOHAN, had been in the securities industry for 9 years and was listed with 3 firms. She has one disclosure, a “Regulatory” on her FINRA CRD report.
The most recent firms Mohan was listed with were:
07/21/2017 - 03/11/2021  LPL FINANCIAL LLC - WEST PALM BEACH, FL
01/21/2016 - 06/14/2017 INVEST FINANCIAL CORPORATION - PALM BEACH GARDENS, FL
If you or a loved one experienced financial losses due to the actions or recommendations of the former LPL Financial of West Palm Beach, Florida, broker/financial advisor,  CAROLINE MOHAN, contact the South Florida-based Soreide Law Group and speak to an experienced securities lawyer regarding the possible recovery of your investment losses through a FINRA arbitration at:  888-760-6552.
Soreide Law Group represents our clients nationwide before FINRA on a contingency fee basis.  There is no cost to you if there is no recovery.