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Barclays Capital Broker Barred by FINRA

August 26, 2015 | Posted by : Guiliano Law Group | FINRA Securities Arbitration, Investment and Regulatory News, Unauthorized Trading | 0 Comments

Louis Anthony Tinoco Jr. formerly associated with Barclays Capital was barred from the securities industry for life as a result of his failure to cooperate with an investigation by the Financial Industry Regulatory Authority. FINRA’s Findings FINRA found that Tinoco during his association with Barclays Capital engaged in fraud by providing at least one customer […]

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Barclays Capital Broker Barred by FINRA

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