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.