Rosemary Teresa Vrablic of New York, New York, a stockbroker formerly registered with Deutsche Bank Securities Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity for allegedly refusing to respond to FINRA inquiry into her activities. Case No. 2021070117201 (October 18, 2021).
FINRA Public Disclosure shows that on December 31, 2020, Vrablic was permitted to resign as a stockbroker of Deutsche Bank Securities based upon accusations of Vrablic’s unapproved outside business activities. Deutsche Bank Securities alleged that Vrablic had been involved in a real estate investment that included buying property from a company owned by a Deutsche Bank Securities customer. Without the securities broker dealer’s authorization, Vrablic formed an entity for holding the real estate investment.
FINRA asked for information from Vrablic in 2021 following her resignation from Deutsche Bank Securities; however, Vrablic failed to respond. On August 9, 2021, FINRA issued Vrablic a Suspension from Association letter. While under suspension, FINRA provided her with time to either satisfy the request or to seek termination of her suspension. Vrablic’s failure to respond by the deadline resulted in FINRA’s automatic bar.
