FINRA barred securities broker Cesar Manuel Casado [CRD: 6215747, Waltham, Massachusetts], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Casado worked for NYLIFE Securities LLC from November 4, 2014, to July 24, 2024. Investors are encouraged to continue reading to find out more about Casado’s regulatory history and disclosures.
Specifically, FINRA issued Case: 2024082919601 on February 13, 2025, permanently barring Casado from associating with any FINRA member in all capacities for refusing to comply with a regulatory investigation. Allegedly, Casado declined to provide information and documents requested by FINRA in connection with an investigation into whether he submitted life insurance applications containing inaccurate or inconsistent information.
FINRA’s action arose after Casado allegedly failed to respond to requests made under FINRA Rule 8210, which requires brokers to provide information and documents during regulatory investigations. FINRA determined that Casado refused to comply with these requests, even after acknowledging receipt, which constituted a violation of Rule 8210.
As a result of these findings, FINRA imposed a permanent bar effective February 13, 2025. The sanction applies to all capacities and is indefinite in duration. The matter was resolved without Casado admitting or denying FINRA’s findings.
Do you have concerns or questions regarding investments you made with Cesar Casado? If so, reach out to Soreide Law Group online or at (888) 760-6552. Speak with a securities lawyer regarding a possible recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the United States. Also, the firm works on a contingency fee basis and advances all costs. Casado and brokerage firms Casado worked for deny accusations of sales practice violations.
Cowen and Company, LLC (CRD 7616), now part of TD Securities (USA) LLC, is a brokerage firm based in New York, New York. FINRA censured and fined the firm a total of $80,000, of which $40,000 is payable to FINRA, according to an AWC issued August 19, 2026.
Webull Financial LLC (CRD 289063) is a brokerage firm based in New York, New York. FINRA censured and fined the firm $115,000 after finding it maintained inaccurate books and records of options order origin codes, according to an AWC issued August 17, 2026.
Marc Miller (CRD 1133692) is a registered representative with Western International Securities. According to BrokerCheck, a customer filed a claim against him on March 3, 2025 that remains pending.
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