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Written by 4:29 pm Blog, Current Investigations

Noel Carino Barred from Securities Industry

Noel Carino

Noel Carino – General Securities Corp. – North Kansas City, MO

According to the Financial Industry Regulatory Authority (FINRA) on November 30, 2018, the regulator has barred former financial advisor Noel Carino from associating with any FINRA member at any time.

In March 2018, FINRA reportedly  commenced an investigation into whether Carino engaged in outside business activities without written notice to General Securities Corp., whether he engaged in private securities transactions without written notice to or approval from the Firm, and whether he reported all outside brokerage accounts in which he had an interest to General Securities Corp.

Without admitting or denying the findings, Carino reportedly consented to the sanction and to the entry of findings that he refused to provide documents and information requested by FINRA in connection with its investigation. Consequently, he was barred from working in the securities industry.

According to Carino’s FINRA BrokerCheck report, he was a registered representative with General Securities Corp. in North Kansas City, MO from August from 2006 through October 2017.

For FINRA’s full findings see FINRA Case NO. 2018057737501.

Free Consultation with a Securities Attorney

If you are concerned about investments made with Noel Carino, the securities attorneys of The White Law Group may be able to help. For a free consultation with a securities attorney, please call 888-637-5510.

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 whitesecuritieslaw.com.




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