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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.[
JOHN LAWRENCE ALEX (JOHN L ALEX) has been registered both as a broker and financial advisor with MORGAN STANLEY of Morristown, New Jersey, since11/15/2011. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, JOHN L ALEX has 36 years of experience in the securities industry and has been registered with 4 firms. Alex … Continue reading JOHN L ALEX of MORGAN STANLEY
JOSEPH KELLY (JOE KELLY) has been registered as a broker with VCS VENTURE SECURITIES of New York, NY since 6/17/2026. He was previously registered with SPARTAN CAPITAL SECURITIES LLC of New York, NY from 01/13/2017 - 12/18/2024. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, JOSEPH KELLY has 21 years of experience … Continue reading JOSEPH KELLY Formerly of Spartan Capital NY
Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CENTAURUS FINANCIAL, INC (Respondent). The Claimants reside in Arizona and are retired. The Claimants were seeking stable investments that would provide them with income. The lawsuit states that the Claimants have a long-standing relationship with CENTAURUS FINANCIAL and its Financial Advisor, … Continue reading CENTAURUS FINANCIAL INC and STUART J SPIVAK
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