Enrique Roy (CRD #5339904, Registered Representative, Miami Beach, Florida)
has been barred from association with any FINRA member in any capacity.
This FINRA sanction was based on their findings that Enrique Roy failed to respond to requests from FINRA for information about an outside brokerage account at a member firm he had opened on a customer’s behalf.
FINRA's findings stated that they dismissed the allegation that Roy failed to give his firm notice of an outside brokerage account.
(FINRA Case #2010023375101)
This information appeared on FINRA's website under "Disciplinary and Other Actions, June, 2012."
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