Louis Anthony Tinoco Jr. (CRD #2941445, Miami Beach, Florida) recently submitted an AWC in which he was barred from association with any FINRA member in any capacity.
Without admitting or denying the findings, Tinoco consented to the sanction and to the entry of findings that he provided his member firm’s customer with a false account summary that concealed trading losses in the account by overstating the value of the customer’s account by more than $200,000. The findings stated that by providing the customer with the false and misleading account summary, Tinoco concealed losses from the customer that were incurred by Tinoco’s trading activity. The findings also stated that Tinoco failed to appear and provide FINRA-requested testimony.
For FINRA’s full findings, see Case #2013037604101.
According to Tinoco’s FINRA Broker Report, he was registered with UBS International from 05/2005 – 01/2010, with UBS Financial Services from 01/2010 – 03/2011 and with Barclays Capital from 03/2011 – 07/2013.
The foregoing information, which is all publicly available on FINRA’s website, is being provided by The White Law Group. The WHite Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida.
For a free consultation with a securities attorney, please call the firm’s Chicago office at 312/238-9650. For more information on the firm and its representation of investors, visit https://whitesecuritieslaw.com.Tags: Louis Tinoco financial advisor, Louis Tinoco FINRA investigation, Louis Tinoco Miami, Louis Tinoco trading losses, Louis Tinoco UBS Financial Last modified: November 11, 2015