Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Ceondre LaQuan Colvin [CRD: 7329753, Pittsburgh, Pennsylvania].
Ceondre Colvin worked for NYLIFE Securities LLC from September 2022 to June 2024. Prior to this, he held positions at non-securities-related employers and managed his own businesses.
Recent disclosures raise concerns about Colvin’s professional conduct, including allegations of unauthorized transactions, regulatory violations, and termination following misconduct investigations.
On October 3, 2024, FINRA initiated an investigation into Ceondre Colvin. FINRA’s findings alleged violations of FINRA Rules 8210 and 2010. The investigation focused on Colvin’s failure to provide documents and testimony concerning a client complaint. Evidently, FINRA barred Colvin on November 27, 2024.
On May 13, 2024, a client of NYLIFE Securities LLC filed a complaint alleging unauthorized deductions from their checking account beginning in May 2023 after their spouse’s passing. The client sought $8,448.60 in damages. On June 7, 2024, the firm resolved the matter.
A client of NYLIFE Securities LLC filed a complaint on March 22, 2024, alleging financial harm due to a surrender charge incurred while transferring a variable annuity in December 2022. The client also claimed they were unaware of investments in the stock market and alleged misuse of their credit union information. On June 20, 2024, the firm settled the claim by paying $95,549.48 to the client.
On May 30, 2024, NYLIFE Securities LLC discharged Ceondre Colvin following a review that found he made unauthorized withdrawals from clients’ bank accounts for personal expenses. The firm notified Pennsylvania Division of Insurance regarding this matter.
Looking for more information about Ceondre Colvin? If so, reach out to Soreide Law Group online (click here) or at (888) 760-6552 to speak with a securities attorney. Soreide Law Group takes cases on a contingency basis, advances all costs upfront, and helps investors nationwide recover losses from sales practice violations, though outcomes cannot be guaranteed. Colvin and NYLIFE Securities LLC deny accusations of sales practice violations.
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