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Gabriela Alfaro Barred by FINRA

Gabriela Alfaro (CRD #: 7609272), a previously registered broker with Charles Schwab, has been barred by FINRA. This disclosure appears on her BrokerCheck record, accessed on February 16, 2024. Keep reading if you have questions regarding her alleged conduct. 

On October 26, 2023, FINRA barred Gabriela Alfaro following allegations that she failed to respond to FINRA requests for information, in violation of FINRA Rule 8210. FINRA Rule 8210 requires members to provide documents, information, and testimony upon request by FINRA.

She also allegedly failed to request the termination of her suspension within three months of the date of the Notice of Suspension, and she hs therefore automatically banned from association with any FINRA member in all capacities. 

Background Information 

Gabriela Alfaro has passed the following exams: 

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

Kurta Law Can Help 

If you have worked with Garbriela Alfaro and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or 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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