Yvonne Nirelli (CRD# 1364313), a broker registered with Cadaret, Grant & Co, Inc., has been suspended by FINRA, according to her BrokerCheck record, accessed on September 17, 2020. She entered into an agreement with FINRA that discloses more information about the reason behind her suspension.
On August 12, 2020, Yvonne Nirelli entered into an Acceptance, Waiver, and Consent (AWC) agreement in which she consented to the findings that she exercised discretion without written authorization in client accounts. Her firm had also not approved any of the accounts for discretionary trading. The findings also stated that clients knew that Ms. Nirelli was exercising discretion in their accounts. Yvonne Nirelli consented to a fine of $5,000, and a 15-day suspension, to last from September 8, 2020 to September 28, 2020.
On July 22, 2019, a client alleged that Yvonne Nirelli misrepresented certain investments. The client sought $200,000; the dispute settled for an undisclosed amount.
Yvonne Nirelli passed the Series 63 Uniform Securities Agent State Law Examination, the Securities Industry Essential Examination, the Series 7 General Securities Representative Examination, the Series 6 Investment Company Products /Variable Contracts Representative Examination, and the Series 26 Investment Company Products / Variable Contracts Principal Examination. He is a broker registered in Florida, Georgia, Massachusetts, Minnesota, New York, North Carolina, Oregon, South Carolina, Texas, and Washington. He is a registered investment adviser in Texas.
During her 34 years of experience, Ms. Nirelli has worked at the following firms:
- Cadaret Grant & Co Inc. (CRD #: 10641)
- Mutual of Omaha Fund Management Compay (CRD #: 611)
If Yvonne Nirelli was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta. Call (877) 238-4175 or email firstname.lastname@example.org for your free case consultation with a securities attorney.