FINRA Sanctions Cynthia La Rosa

Soreide Law Group is investigating possible investor claims against securities broker Cynthia La Rosa AKA Cynthia Corriere [CRD#: 2459459, New York, NY]. Evidently, FINRA sanctioned the securities broker, who worked for Canaccord Genuity. Allegedly, La Rosa provided false or misleading information to FINRA investigators. Here is a brief summary FINRA’s allegations against La Rosa.

FINRA Sanctions Canaccord Genuity Securities Broker Cynthia La Rosa For False Or Misleading Information

Evidently, on June 16, 2022, FINRA issued Case #: 2020066079901 sanctioning Cynthia La Rosa for infractions. Specifically, FINRA barred the securities broker. Notably, FINRA alleged that La Rosa provided false or misleading information to FINRA during an investigation.

Supposedly, in December 2020 and March 2021, La Rosa created false documents indicating a review of certain reports. Specifically, in December 2020 and January 2021, Canaccord received FINRA requests seeking the production of trade-related exception reports. In response to those requests, La Rosa created various sets of documents that falsely gave the appearance that the exception reports had been reviewed. As a result, La Rosa violated FINRA Rules 2010 and 8210.

Recent Employer Information

Cynthia La Rosa worked for Canaccord Genuity in New York, NY, as a securities broker from October 19, 2017 to April 27, 2022.

Damages Resulting From Canaccord Genuity Securities Broker Cynthia La Rosa?

Have you sustained damages by investing with Cynthia La Rosa? If so, reach out to Soreide Law Group at (888) 760-6552 and speak with a securities attorney about a possible recovery of your investment losses. Soreide Law Group, who has effectively recovered money for investors in all 50 states, represents clients on a contingency fee basis and advances all costs. La Rosa and brokerage firms La Rosa was employed by deny any and all allegations of sales practice violations.