The following summation was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, December, 2013.”
Joan Lund Barere (CRD #5710454, Registered Representative, Norwalk, Connecticut)
was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Barere failed to respond to FINRA requests for information concerning the alteration of a client profiling document and the appropriateness of an investment for that client.
FINRA's findings stated that Barere did not cooperate with FINRA’s investigation.
(FINRA Case #2012034833401)
According to FINRA's BrokerCheck, Joan Lund Barere was previously registered with the following FINRA firm(s):
PEOPLE'S SECURITIES, INC. (CRD# 13704) - STAMFORD, CT
09/2010 - 11/2012
DAVID LERNER ASSOCIATES, INC. (CRD# 5397) - WESTPORT, CT
10/2009 - 09/2010
This ends the summation of information from FINRA’s website.
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