The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, July, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552.
Conrad Tambalo Bautista (CRD #1582353, Registered Representative, McKinney, Texas)
was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Bautista consented to the described sanction and to the entry of findings that in response to a customer complaint against him, FINRA requested that he provide certain information and documents to address the complaint, and he complied with the request.
FINRA's findings stated that based on concerns raised from review of the documents and information Bautista provided, FINRA made supplemental requests for documents and information from him. FINRA requested that Bautista produce certain bank records and other financial information in connection with an investigation into whether he may have engaged in fraudulent investment schemes, been involved in undisclosed outside business activities and/or private securities transactions, borrowed money from customers, and/ or failed to disclose an Internal Revenue Service (IRS) tax lien on his Form U4.
Also, FINRA's findings stated that Bautista, through his attorney, informed FINRA that he would not respond to supplemental requests from FINRA for documents and information. (FINRA Case #2013035824101)
According to FINRA's BrokerCheck, this broker was previously registered with FINRA at the following brokerage firms:
CUSO FINANCIAL SERVICES, L.P.
CRD# 42132
RICHARDSON, TX
01/2010 - 03/2013
SWBC INVESTMENT SERVICES, LLC
CRD# 133715
RICHARDSON, TX
01/2007 - 12/2009
FINANCIAL NETWORK INVESTMENT CORPORATION
CRD# 13572
PLANO, TX
07/2004 - 12/2006
This ends the information obtained from FINRA’s website.
Soreide Law Group represents clients nationwide before FINRA. If you have sustained investment losses due to your stock broker/financial advisor’s recommendations, call for a free consultation with an attorney on how to potentially recover those losses: 888-760-6552.
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