F
The following information was obtained by Soreide Law Group (888-760-6552) from FINRA’s website under, “Disciplinary and Other FINRA Actions, July 2016.”
LIZABETH G. TY (CRD #4737319, Sugarland, Texas)
Alternate Names: LIZABETH ROWENA GOTUACO, BETH GOTUACO TY
was barred by FINRA for allegedly failing to provide FINRA with requested documents and information during the course of an investigation into allegations that she sold unregistered securities.
(FINRA Case #2016049315001)
Any stock that does not have an effective registration statement on file with the SEC is considered "unregistered."
Lizabeth Ty worked in the securities industry for 10 years. FINRA has permanently barred her from acting as a broker or otherwise associating with firms that sell securities to the public. Lizabeth G. Ty was previously registered with the following firms:
01/2006 - 07/2015 PARK AVENUE SECURITIES LLC - HOUSTON, TX
04/2004 - 11/2004 BROOKSTREET SECURITIES CORPORATION - SAN JUAN CAPISTRANO, CA
02/2004 - 04/2004 AMERITAS INVESTMENT CORP. - LINCOLN, NE
If you’ve experienced investment losses due to the recommendations of former broker, Lizabeth G.Ty, formerly with Park Avenue Securities of Houston, TX, contact Soreide Law Group for a no-cost consultation with a lawyer regarding the possibility of recovering your losses at: 888-760-6552.
Soreide Law Group represents clients nationwide before FINRA and we operate on a contingency fee.[
Investors potentially experienced sales practice violations by securities broker Matthew R. Carbray [CRD: 4565811, Northampton, Massachusetts], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Carbray has worked for Kestra Investment Services LLC since July 21, 2006, and Kestra Advisory Services LLC since April 19, 2016. Continue reading to learn more about Carbray’s […]
Investors apparently complained about securities broker Juan Pablo Benavides [CRD: 4288007, Miami, Florida], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Benavides has worked for Merrill Lynch as a securities broker since November 22, 2000, and as a financial advisor since March 15, 2004. See below to find out more about […]
Investors potentially incurred losses because of securities broker Sandy Meyer Leff [CRD: 1796695, Atlanta, Georgia], according to information disclosed through Financial Industry Regulatory Authority (FINRA) BrokerCheck. Leff has worked for Carter Terry Company Inc. as a securities broker since October 6, 2016, and as a financial advisor since October 21, 2016. Keep reading to discover […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com