According to a recent FINRA announcement, John Joseph Labarca (CRD #2030473, Spotswood, New Jersey) recently submitted an AWC in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Labarca consented to the sanction and to the entry of findings that he refused to provide FINRA with requested information and documents in connection with its investigation into allegations made against Labarca in a statement of claim a customer had filed.
For the full FINRA findings, see FINRA Case #2015045012301.
According to his FINRA Broker Check, Labarca was registered with National Securities Corporation from 02/2010 – 02/2016.
The foregoing information, which is all publicly available on FINRA’s website, is being provided by The White Law Group. The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee. For more information on The White Law Group, visit https://whitesecuritieslaw.com.
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Tags: John Joseph Labarca financial advisor, John Joseph Labarca FINRA, John Joseph Labarca investments, John Joseph Labarca National Securities, John Joseph Labarca Spotswood New Jersey Last modified: April 19, 2016