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FINRA Suspends Cari Spicer for Alleged Failure to Respond to Information Requests

Cari Spicer (CRD #: 2387382), a broker formerly registered with CAVU Securities, has been suspended by FINRA, according to her BrokerCheck record, accessed on July 31, 2022. If you want to know more about Cari Spicer’s conduct as a broker, read on.

FINRA Suspension

On June 1, 2022, FINRA sent Cari Spicer a Notice of Suspension for allegedly failing to respond to requests for information.

She was suspended in all capacities on June 27, 2022, and her suspension will continue until the requested information is received or the suspension becomes a bar on September 6, 2022. 

FINRA Rule 9552

Pursuant to FINRA Rule 9552, FINRA imposes a three-month suspension which automatically converts to a bar unless the broker provides the requested information and requests the termination of the suspension.

Tax Liens

From 2017-2020, Cari Spicer was subject to $62,081.05 in tax liens.

Background Information

Cari Spicer has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination 

She previously worked for the following firms:

  • CAVU Securities (CRD#:6906)
  • Triton Pacific Securities (CRD#:139919)
  • ACGM (CRD#:29705)
  • KBR Capital Markets (CRD#:128800)
  • Transamerica Capital (CRD#:8217)
  • Merrill Lynch, Pierce, Fenner & Smith (CRD#:7691)
  • Pacific Select Distributors (CRD#:4452)
  • Transamerica Capital (CRD#:8217)

Kurta Law Can Help

If you worked with Cari Spicer 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. 

 

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