Soreide Law Group has obtained the following information from FINRA’s website under “Disciplinary and Other FINA Actions,” dated March 2019:
LIJU "JOE" VARGHESE (CRD #4197007, New Hyde Park, New York)
was barred from association with any FINRA member in all capacities by FINRA. Without admitting or denying the findings, Varghese consented to the sanction and to the entry of findings that LIJU "JOE" VARGHESE refused to appear for FINRA on-the-record testimony in connection with an investigation into whether he engaged in unauthorized trading.
FINRA’s findings stated that FINRA began the investigation after LIJU "JOE" VARGHESE’s member firm filed a Uniform Termination Notice for Securities Industry Registration stating that he was under internal review following allegations that he allegedly submitted several annuity applications that were never funded, allowing him to receive compensation to which was not entitled.
(FINRA Case #2018057957601)
According to FINRA’s BrokerCheck, LIJU "JOE" VARGHESE has 2 Disclosures on his report. One was a Regulatory, and the other was an “Employment Separation After Allegations.” In February of 2018, Varghese voluntarily resigned from PRUCO SECURITIES, LLC following allegations that the, “Registered Representative submitted several annuity applications, that were never funded. This allowed the Registered Representative to receive compensation that he was not entitled to.”
LIJU "JOE" VARGHESE was registered in the securities industry for 8 years and was registered with the following firms:
06/13/2016 - 03/29/2018 PRUCO SECURITIES, LLC - HOWARD BEACH, NY
02/08/2010 - 06/14/2016 MML INVESTORS SERVICES, LLC - SYOSSET, NY
If you’ve experienced losses due to the actions of former PRUCO SECURITIES of Howard Beach, NY, broker, LIJU "JOE" VARGHESE, contact Soreide Law Group and speak to an experienced securities lawyer at no cost regarding the possible recovery of your investment losses through a FINRA arbitration at: 888-760-6552.
Soreide Law Group will represent you nationwide before FINRA on a contingency fee basis—no fee if no recovery.
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