Did Neil James Buono Cause You Investment Losses?
You may have read that Neil James Buono of Tampa, Florida was permanently barred by the Financial Industry Regulatory Authority (“FINRA”) from working in the securities industry because he failed to comply with FINRA Rule 8210.
Neil James Buono joined Pruco Securities, LLC in March 2017, and registered as a Series 6 Investment Company and Variable Contracts Products Representative (IR). In October 2018 the firm filed a Uniform Termination Notice for Securities Industry Registration (Form U5) disclosing Buono’s voluntary resignation. According to the FINRA findings, Buono had allegedly created email accounts for two customers and signed their electronic signatures without their knowledge all while receiving unentitled compensation. FINRA then began an investigation regarding the allegations and sent multiple request to Buono to appear for on-the-record testimony. The findings stated that Buono later responded in an email that he acknowledged and received all the request and would not appear for the on-the-record testimony at any given time. Although Neil James Buono is no longer registered with any FINRA member firm, he remains subject to FINRA’s jurisdiction.
FINRA Rule 8210 authorizes FINRA, for purposes of an investigation, complaint, examination, or proceeding authorized by the FINRA By-Laws or rules, to require a member, person associated with a member, or person subject to FINRA’s jurisdiction to provide information orally with respect to any matter involved in an investigation, complaint, examination or proceeding. Rule 8210 also specifies that no member or person shall fail to provide information or testimony pursuant to this rule. A violation of FINRA Rule 8210 also violates F1NRA Rule 2010.
Do You Need a Florida FINRA Defense Attorney?
Unfortunately, Neil James Buono might have avoided that FINRA 8210 bar from the securities industry with a skilled and experienced FINRA 8210 defense attorney. It is important, early on, to have a FINRA defense attorney advise you on how not to make matters worse and resolve the dispute with the least amount of sanctions which could range from censures to fines, suspensions, permanent bars, and/or referrals to federal or state prosecutors. You will need an experienced FINRA defense lawyer who not only has knowledge of FINRA rules and procedures, the securities laws and the appropriate sanction for the alleged misconduct but also has an excellent reputation and credibility with the FINRA attorneys to negotiate the best outcome.
Free Initial Consultation With FINRA 8210 Defense Attorney Serving Financial Advisors Throughout Tampa, Florida And Nationwide
The Law Offices of Robert Wayne Pearce, P.A. understands what is at stake in FINRA securities law matters and works tirelessly to secure the best possible result for you and your case. Attorney Pearce’s FINRA defense skills are highly regarded throughout Florida and across the nation. For dedicated representation by an attorney with over 40 years of experience and success in all kinds of FINRA disputes serving Florida citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889, or via e-mail.
Robert Wayne Pearce
Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $125 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.
Rate this Post
Loading...