Kenneth James Delacruz Jr. of East Hartford Connecticut a stockbroker formerly employed by Foresters Financial Services Inc. has been discharged on August 18, 2017 based upon accusations that Sousa concealed from the firm that he received a letter from an attorney regarding a customer who had complained about misconduct.
Foresters Financial stated that Sousa failed to provide information about the customer to the firm’s attention until June 23, 2017, after which time a second letter had been sent by the attorney. Foresters Financial stated that Sousa failed to conform to the firm’s procedures and polices because of his concealment of the information pertaining to a complaint.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Sousa is referenced in a customer initiated investment related civil action in which the customer requested $224,664.80 in damages founded on allegations that Sousa took money from an account owned by the customer without the customer having known or provided consent. Civil Action No. 0000248192A001 (Nov. 20, 2017).
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