Toni L. Robertson, of Lubbrock, Texas, a stockbroker formerly registered with Caprock Securities, Inc., was permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity based upon her failure to respond to FINRA’s request for information concerning her activities. Docket No. 2015046415002 (Oct. 21, 2016).
FINRA Public Disclosure reveals that Robertson has been subject to six additional events concerning misconduct. Particularly, on May 2, 2006, a customer filed an investment related arbitration claim against Robertson, in which the customer requested $5,793.59 in damages based upon allegations that Robertson effected unauthorized transactions in the customer’s account.
On November 4, 2011, Robertson was suspended from associating with any FINRA member in any capacity based upon findings that Robertson engaged in an unauthorized borrowing arrangement; conduct violative of FINRA Rules 2370 and 2110. Subsequently, on April 2, 2013, a customer was awarded $308,460.00 in damages per an investment related arbitration claim involving Robertson’s conduct, based upon allegations that Robertson effected an unsuitable transaction in a private real estate investment trust.
Guiliano Law Group
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