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Cullen Factor Barred by FINRA for Alleged Refusal to Appear for Testimony

Cullen Factor (CRD #: 2569145), a broker formerly registered with Western International Securities, has been barred by FINRA, according to his BrokerCheck record, accessed on July 4, 2023. Keep reading if you want to know more about his alleged conduct as a broker.

Bar by FINRA

On May 1, 2023, Cullen Factor consented to the entry of findings that he allegedly refused to appear for on-the-record testimony requested in connection with a FINRA investigation into potential sales practice violations while associated with Western International Securities.

A Letter of Acceptance, Waiver & Consent (AWC) alleged that FINRA sent a request for testimony on February 24, 2023. His counsel allegedly indicated his refusal to appear for on-the-record testimony on April 5, 2023.

The AWC concluded that this alleged refusal violated FINRA Rules 8210 and 2010.

FINRA Rule 8210

FINRA Rule 8210 requires members to supply records, information, and testimony upon request by FINRA.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Sanctions

FINRA permanently barred Cullen Factor on May 1, 2023.

You can read a copy of the AWC here.

Background Information

Cullen Factor has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • Series 99TO – Operations Professional Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

He previously worked for the following firms:

  • Western International Securities (CRD#:39262)
  • Brill Securities (CRD#:18565)
  • Clark Street Capital (CRD#:38304)
  • Royal Hutton Securities Corporation (CRD#:14489)
  • GunnAllen Financial (CRD#:17609)
  • HD Brous & Company (CRD#:22062)
  • Robert Thomas Securities (CRD#:10147)
  • Duke & Company (CRD#:8035)
  • Meyers Pollock Robbins (CRD#:13436)
  • Jaron Equities Corporation (CRD#:5764)
  • Tasin & Company (CRD#:30709)
  • AGS Financial Services (CRD#:38006)
  • Stuart, Coleman & Company (CRD#:8642)
  • Meyers Pollock Robbins (CRD#:13436)
  • Corporate Securities Group (CRD#:11025)

Kurta Law Can Help

If you worked with Cullen Factor 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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