Jorge Netto (CRD#: 2432661), a registered representative with Boreal Capital Securities LLC (CRD#: 158599) in Miami, Florida, is currently being investigated by the Financial Industry Regulatory Authority (FINRA) for allegedly engaging in undisclosed outside business activities, according to his BrokerCheck record accessed on July 2, 2020. What happened to lead to this FINRA investigation into…

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William Wimberly (CRD#: 1157038), formerly of LPL Financial LLC (CRD#: 6413) in Jackson, Mississippi, has been suspended by the Financial Industry Regulatory Authority (FINRA), according to his BrokerCheck record accessed on June 1, 2020. What happened to lead to William Wimberly’s suspension? FINRA found that he engaged in undisclosed outside business activities while employed at…

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Tony Puente (CRD#: 2695224), a former registered representative with Valic Financial Advisors, Inc. (CRD#: 42803), has been barred from the securities industry by FINRA, the Financial Industry Regulatory Authority, according to his BrokerCheck record accessed on February 20, 2020. What happened to lead to Tony Puente’s permanent bar from the securities industry? As part of…

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