Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bryan Corona (Corona), previously associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one tax lien, alleging that Corona recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on December 09, 2024.
Without admitting or denying the findings, Corona consented to the sanctions and to the entry of findings that he willfully failed to timely amend his Form U4 to disclose felony charge. The findings stated that Corona learned of the charges no later that when he entered a plea, through counsel, with the court. Although Corona knew that he had been charged, he failed to amend his Form U4 for over six months.
