Victim of Financial Fraud? Call Now

Albert Aviles Barred by FINRA For Allegedly Failing to Provide Information

Albert Aviles (CRD #: 1949853), a broker formerly registered with Reid & Rudiger, has been barred by FINRA, according to his BrokerCheck record, accessed on December 14, 2022. Keep reading if you have questions about his alleged conduct as a broker.

Bar by FINRA

On September 9, 2022, FINRA issued a Letter of Suspension alleging Albert Aviles failed to respond to requests for information. His suspension converted to a permanent bar on December 12, 2022.

FINRA Rule 9552

FINRA Rule 9552 penalizes members who fail to provide documents, information, or testimony requested by FINRA with a suspension. Members who fail to request an end to their suspension within three months become permanently barred.

Tax Liens

In 2016, Albert Aviles was subject to a total of $10,217.21 in tax liens.

Background Information

Albert Aviles has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 62 – Corporate Securities Limited Representative Examination

He previously worked for the following firms:

  • Reid & Rudiger (CRD#:47263)
  • Spartan Capital Securities (CRD#:146251)
  • Joseph Gunnar & Company (CRD#:24795)

Kurta Law Can Help

If you worked with Albert Aviles and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.