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Former NYLife Securities Broker in San Antonio Barred from Industry by Regulators

Former NYLife Securities Broker in San Antonio Barred from Industry by Regulators

Former NYLife Securities Broker in San Antonio Barred from Industry by Regulators 150 150 Rex Securities Law

July 2,  2015- San Antonio, Texas

Emily A. Pena  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she used personal funds to pay life insurance premiums for three customers, unrelated to her thereby generating compensation to which she was not entitled. In addition, FINRA alleged that she provided a customer with a credit reimbursement letter that she fabricated, guaranteeing the customer against losses due to surrender fees in violation of FINRA Rule 2010.

AWC No. 2014041353501

Pena  was  barred from the securities industry.

According to FINRA records, Pena was registered with NYLife Securities from 5/2009-5/2014.

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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