Kyle Robert Foyer, of Carmel, Indiana, a stockbroker formerly registered with The O.N. Equity Sales Company, has been sanctioned via the revocation of Foyer’s securities registration based upon allegations that he failed to fulfill the financial obligations associated with a previous regulatory manner resulting in findings of his misconduct. Case No. 2013038677001 (Feb. 15, 2017).
FINRA Public Disclosure reveals that on June 16, 2015, Foyer was fined $5,000.00 and suspended by FINRA based upon consenting to findings that he failed to make required regulatory disclosures about unresolved liens and judgments previously entered against him; conduct violative of Rules 2011 and 1122.
Moreover, on July 23, 2015, a customer initiated investment related arbitration claim involving Foyer’s conduct was settled for $405,194.18 in damages based upon allegations that Foyer, while associated with Equity Services, Inc., made misrepresentations and omissions to the customer as well as unsuitable investment recommendations concerning an insurance contract that the customer entered into.
Guiliano Law Group
Our practice is limited to the representation of investors. We accept representation on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.
For more information concerning common claims against stockbrokers and investment professionals, please visit us at securitiesarbitrations.com
To learn more about FINRA Securities Arbitration, and the legal process, please visit us at securitiesarbitrations.com
