Former World Equity Group broker Robert Christian Acri of Winnetka, Illinois, submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Acri consented to the sanction and to the entry of findings that FINRA commenced an investigation concerning his involvement in the sale of alternative investments, including promissory notes, that had defaulted. The findings stated that as part of that investigation, FINRA requested information and documents from Acri.
Acri provided a partial but incomplete response and, after a deficiency letter was sent to him, he provided a second partial but incomplete response. Although Acri provided partial responses, he did not substantially comply with all aspects of the request, and the information and documents he failed to provide were material to FINRA’s investigation.
FINRA Case #2013038624802
- World Equity Group 6/2012-6/2013
- Spyglass Securities 6/2010-6/2011
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