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Written by 9:35 am Blog, Securities Fraud Articles

Tony Chia Huang barred from securities industry by FINRA

According to a recent FINRA Disciplinary Actions announcement, Tony Chia Huang (CRD #3125448, Eastvale, California) submitted an AWC in which he was barred from association with any FINRA member in any capacity.

Without admitting or denying the findings, Huang consented to the sanction and to the entry of findings that he participated in a scheme to falsify life insurance applications by forging customer signatures on insurance applications and impersonating customers during quality assurance calls. The findings stated that in furtherance of the scheme to falsify the life insurance applications, Huang arranged for fluid samples belonging to people other than the insurance applicants to be submitted in place of the actual customers’ fluid samples. As a result of this scheme, Huang knowingly submitted, or caused to be submitted, life insurance applications containing false information.

For FINRA’s full findings, see FINRA Case #2013035252901.

According to his FINRA Broker Report, Huang was registered with Pruco Securities from August 2007 through October 2010 and NY Life Securities from March 2011 through September 2012.

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.  The firm represents investors throughout the country in claims against brokerage firms.

For more information on the firm, visit https://whitesecuritieslaw.com.

For a free consultation with a securities attorney, please call the firm’s Chicago office at 312/238-9650.

Tags: , , , , Last modified: July 17, 2023