According to FINRA, Lizabeth Gotuaco Ty (CRD #4737319, Sugarland, Texas) recently submitted an AWC in which she was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Ty consented to the sanction and to the entry of findings that she failed to provide FINRA with requested documents and information during the course of an investigation into allegations that she sold unregistered securities.
For FINRA’s full findings, see FINRA Case #2016049315001.
According to her FINRA Broker Report, Ty was registered with Park Avenue Securities from 01/2006 – 07/2015.
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 firm and it’s representation of investors, visit https://whitesecuritieslaw.com.
For a free consultation with a securities attorney, please call the firm at 1-888-637-5510.
Tags: Lizabeth Ty financial advisor, Lizabeth Ty FINRA bar, Lizabeth Ty FINRA investigation, Lizabeth Ty FINRA lawsuit, Lizabeth Ty investment advisor, Lizabeth Ty Park Avenue Securities Last modified: September 26, 2023
