Another previous bank associate has been expelled from the market for choosing not to work together with an FINRA examination into supposed misbehavior.
Moises David Rivera-Castillo, a previous associate signed up with J.P. Morgan Securities in Mount Kisco, N.Y., decreased to offer the regulator with files and details it asked for, a choice that instantly leads to getting disallowed, FINRA stated in a current disciplinary filing.
Rivera-Castillo might not be grabbed remark. In his settlement with FINRA, he neither confessed nor rejected the charges but granted an entry of FINRA’s findings.
Rivera-Castillo signed up with J.P. Morgan Chase Bank in February 2012 and J.P. Morgan Securities in October 2012, inning accordance with BrokerCheck records. He was released from the bank in September for the supposed misbehavior.
Michael Fusco, a spokesperson for Chase Wealth Management, decreased to comment.
Rivera-Castillo is the 3rd previous J.P. Morgan associate since November to be disallowed for decreasing FINRA’s ask for details. Bo Li, previously with J.P. Morgan Chase in Salt Lake City, was gotten rid of in early December for choosing not to stand for an on-the-record statement relating to deals in his personal checking account. Whitley Kiara Hood, a previous representative in Chicago, was expelled in November for decreasing to offer on-the-record Testament concerning claims that she abused funds from a J.P. Morgan-affiliated bank.
The 3 sign up with at least 2 other bank consultants disallowed in 2016 for blowing off FINRA examinations. Mark Peter Koestner, a previous advisor with Wells Fargo in Naples, Fla., was disallowed last April, and Kenneth Lynn Miller, a previous broker with First Tennessee Bank in Memphis, Tenn., was ousted last March.