Lyhen Fiallo, a stockbroker registered with PFS Investments, also known as Primerica, in Hialeah, Florida, and sanction and barred by FINRA in connection with its investigation into her “potential involvement with borrowing from a securities customer.” Letter of Acceptance, Waiver, and Consent No. 2025088525001.
According to FINRA Ms. Fiallo refused to produce documents and information requested by FINRA as part of its investigation into her “potential involvement with borrowing from a securities customer.”
FINRA Rule 8210 requires all registered persons to provide information and documents of matters under its inquiry or investigation, and if the stockbroker or registered person fails to comply, they may be barred. Ms. Fiallo supposedly violated these rules, and accordingly, FINRA barred her from associating with any member firm in any capacity.
FINRA Public Disclosure does not reveal any history of customer complaints or other regulatory proceedings, but does disclose that in March 2024, Ms. Fiallo was the subject of a $93,243.97 tax lien.
The Guiliano Law Group, P.C.
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