Kittiany Barrios Barred By FINRA Following Investigation

FINRA sanctioned securities broker Kittiany Davis Barrios (also known as Kittiany Davis-Barrios) [CRD: 6941840, Cranbury, New Jersey], according to disclosures on FINRA BrokerCheck. According to the regulator, Davis Barrios worked for PFS Investments Inc. from March 15, 2019, to February 22, 2024. Read on to learn more about the disclosures concerning Davis Barrios.

FINRA Sanctioned Barrios For Refusal To Cooperate

Particularly, on October 17, 2024, FINRA issued Case: 2023080015802. Specifically, Davis Barrios was permanently barred from associating with any FINRA member in all capacities. Evidently, FINRA alleged that Davis Barrios refused to provide documents and information or to appear for testimony requested by FINRA in connection with an investigation.

Notably, the investigation originated from a FINRA Rule 4530(f) filing made by Davis Barrios’ employer, which disclosed a civil complaint filed by a client against the firm. Although Davis Barrios initially cooperated with FINRA’s investigation, she allegedly stopped doing so. On August 9, 2024, FINRA requested documents and information from Davis Barrios and scheduled testimony for September 18, 2024. After failing to provide the requested documents and information, FINRA sent a second request on September 10, 2024. Supposedly, Davis Barrios acknowledged receiving the requests but refused to comply, violating FINRA Rules 8210 and 2010. As a result, FINRA permanently barred her from associating with any employer effective October 17, 2024.

PFS Investments Permitted Kittiany Barrios To Resign Amid Internal Review

Specifically, on January 26, 2024, PFS Investments disaffiliated with Davis Barrios. Evidently, PFS Investments alleged that Barrios was under internal review for possible participation in undisclosed outside business activities and/or private securities transactions.

Contact Soreide Law About Securities Broker Barrios

Are you looking for more information about Kittiany Barrios? If you incurred losses, contact Soreide Law Group online or at (888) 760-6552 and talk to a securities attorney concerning a possible recovery. Soreide Law Group has recovered losses for investors throughout the United States, represents clients on a contingency fee basis, and advances all costs. Davis Barrios and brokerage firms Davis Barrios worked for deny any allegations of sales practice violations.