Robert Emmett Marquez (also known as Bob Marquez), of Smithtown, New York, a stockbroker registered with Investment Network Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Marquez refused to appear for testimony concerning his potential private placement activities during the time that he was associated with Investment Network Inc. Letter of Acceptance, Waiver, and Consent No. 2022074096803 (November 6, 2023).
The regulatory action against Marquez stemmed from an investigation by FINRA into his potential sales of “pre-IPO” private placement offerings. On September 14, 2023, the regulator requested Marquez to provide testimony as part of their investigation. Marquez, through an email dated October 13, 2023, acknowledged receiving the regulator’s request. However, he stated that he would not appear for testimony at any time. His refusal to cooperate with the investigation showed that he violated FINRA Rules 2010 and 8210.
Marquez was associated with Investment Network Inc. in Smithtown, New York from January 4, 2017, to November 6, 2023, at which point the securities broker dealer discharged him because of FINRA’s enforcement action.
