John Abraham Perez-Cubero, of Short Hills, New Jersey, a stockbroker registered with Morgan Stanley, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Perez-Cubero refused to provide documents and information requested by FINRA. Letter of Acceptance, Waiver, and Consent No. 2023078273201 (September 11, 2023).
FINRA Rule 8210 allows FINRA to request information from stockbrokers and employers as part of an investigation or examination. This rule gives FINRA the authority to require individuals to provide documents and even testimony if needed.
According to the AWC, Perez-Cubero initially provided information and documents to FINRA as requested, but in August 2024, he stopped complying. FINRA sent multiple requests in July 2024, setting deadlines for Perez-Cubero to submit further documents and information. Perez-Cubero chose not to comply by the given deadlines. By not responding, Perez-Cubero hindered FINRA’s ability to properly investigate the situation, violating FINRA Rules 8210 and 2010.
FINRA Public Disclosure also shows that a customer initiated investment related complaint involving Perez-Cubero’s conduct was settled on January 12, 2024, for $10,000.00 in damages based upon alleged forgery and misappropriation during the time that Perez-Cubero was associated with Morgan Stanley.
Perez-Cubero was associated with Morgan Stanley in Short Hills, New Jersey, from April 4, 2018, to October 6, 2023.
