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Miami-Barclays Capital Broker Sanctioned for Creating False Brokerage Statement

Miami-Barclays Capital Broker Sanctioned for Creating False Brokerage Statement

Miami-Barclays Capital Broker Sanctioned for Creating False Brokerage Statement 150 150 Rex Securities Law

August 3, 2015

Louis Anthony Tinoco, Jr., of Miami, Florida  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that in order to conceal trading losses, he falsified a customer account summary by overstating the value of the account by more than $200,000. In addition, Tinoco failed to appear and provide testimony to FINRA in connection  with the investigation.

AWC NO. 2013037604101

Tinoco  was barred from the securities industry According to FINRA records Tinoco was registered as follows:

  • Barclays Capital                                        3/2011-7/2013
  • UBS Financial Services                       1/2010-3/2011

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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Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

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