The Soreide Law Group, (888) 760-6552 obtained the following summation of information from FINRA’s website, listed under “Disciplinary and Other FINRA Actions, July, 2014.”
Angelo Barcelo III (CRD #4394074, St. Louis, Missouri)
was barred by FINRA for allegedly converting funds from his firm.
FINRA's findings stated that allegedly Barcelo created a fictitious account and subsequently sent a change of address request to the clearing firm for his memeber firm. Angelo Barcelo then made journal entries in the phony account to create a fake balance of $5,796.
Then, according to FINRA's report, Barcelo made a check distribution order for $5,771 which was funded by the phony account. Barcelo's firm then issued the check and Barcelo cashed it and used the money to pay his own personal expenses.
FINRA's findings also reported that Angelo Barcelo failed to respond to FINRA requests for information and documents.
(FINRA Case #2012034046801)
Angelo Barcelo III was previously registered with the following securities firm(s):
WANG INVESTMENT ASSOCIATES, INC. (CRD# 17912) - SAINT LOUIS, MO
12/2010 - 09/2012
GENESIS SECURITIES, LLC (CRD# 46992) - NEW YORK, NY
FINRA expelled the firm in 05/2012 06/2009 - 12/2010
E*TRADE SECURITIES LLC (CRD# 29106) - JERSEY CITY, NJ
06/2008 - 06/2009
MURIEL SIEBERT & CO., INC. (CRD# 5376) - JERSEY CITY, NJ
05/2006 - 05/2008
TD WATERHO-- USE INVESTOR SERVICES, INC. (CRD# 7870) - OMAHA, NE
04/2005 - 10/2005
This ends the summation from FINRA's website.
Call and speak to a lawyer, at no cost. Soreide Law Group, PLLC, represents investors nationwide before the Financial Industry Regulatory Authority (FINRA) and can be reached at 888-760-6552.
Investors potentially experienced sales practice violations by securities broker Kerrie Lynn Best [CRD: 2834846, Spring Hill, Florida], based on public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kerrie Best worked for Raymond James Associates Inc. beginning August 9, 2006, as a securities broker and beginning August 10, 2006, as a financial advisor. Investors […]
Investors potentially incurred losses because of securities broker Cooper Morgan Carden [CRD: 6902893, Hoover, Alabama], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Cooper Carden worked for Northwestern Mutual Investment Services LLC from December 10, 2019, to March 17, 2026. See below to find out more about the securities broker’s disclosures. Northwestern Mutual […]
Investors might have sustained losses due to securities broker Michael Owen Barry [CRD: 2690041, New Orleans, Louisiana], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Michael Barry has been registered with Stifel Nicolaus Company in New Orleans, Louisiana, since July 7, 2015, as both a broker and financial advisor. Investors are encouraged to […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com