Conrad Tambalo Bautista, a registered representative from McKinney, Texas, submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA (Financial Industry Regulatory Authority) member in any capacity. The AWC was entered into to resolve a FINRA investigation into whether Bautista may have been engaged in fraudulent investment schemes, been involved in undisclosed outside business activities and/or private securities transactions, borrowed money from customers, and/or failed to disclose an Internal Revenue Tax Lien on his Form U4.
According to FINRA records which may be accessed here, Bautista previously was registered with the following broker dealers in and around Richardson, Texas:
- Cuso Financial Services 01/2010-03/2013
- SWBC Investment Services 01/2007-12/2009
- Financial Network Investment Corp 07/2004-12/2006
If you have questions about investment losses or the way your brokerage account has been handled, please contact us to discuss your legal rights.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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