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Antonio Suarez-Borelli Allegedly Failed to Supervise

Antonio Suarez-Borelli (CRD #: 5291042), a broker registered with Nationwide Planning Associates, is the subject of a Puerto Rico regulatory action. This disclosure appears on his BrokerCheck record, accessed on October 22, 2024. Keep reading if you have questions concerning his alleged conduct. 

Regulatory Action 

On August 20, 2024, Puerto Rico alleged that Antonio Suarez-Borelli, the designated supervising principal of Puerto Rico’s Nationwide Planning Associates, failed to detect or alert any of the red flags of securities rule violations. This allegedly caused serious harm to multiple investors. 

Failure to Supervise

FINRA Rule 3110 requires that firms establish systems of supervision to maintain their compliance with securities regulations. This includes appointing supervisors and providing them with Written Supervisory Procedures (WSPs).

Background Information 

Antonio Suarez-Borelli has passed the following exams: 

  • Series 65 Uniform Investment Adviser Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 
  • Series 6 Investment Company Products / Variable Contracts Representative Examination 
  • Series 24 General Securities Representative Examination 
  • Series 26 Investment Company Products/Variable Contracts Principal Examination 

He is a registered broker in Florida, Ohio, and Puerto Rico. He is a registered investment adviser in Puerto Rico. 

  • Nationwide Planning Associates (CRD #: 31029) 
  • NPA Asset Management (CRD #: 131534) 
  • Abramenko & Company (CRD #: 21406) 
  • Walnut Street Securities (CRD #: 15840) 

Kurta Law Can Help 

If you worked with Antonio Suarez-Borelli and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that 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. Do not let securities fraud go unchecked. Start your recovery process today.

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