Iam Aguilar Allegedly Failed to Respond to FINRA Prior to Suspension
Iam Aguilar (CRD #: 7038228), a previously registered broker with Fidelity Brokerage Services, is the subject of a FINRA suspension. This disclosure appears on his BrokerCheck record, accessed on October 15, 2024. Keep reading if you have questions regarding his alleged conduct.
Regulatory Action
On July 30, 2024, FINRA suspended Iam Aguilar following allegations that he failed to respond to FINRA requests for information. This suspension will continue until the required information is provided or the suspension converts to a bar.
FINRA Rule 8210
FINRA Rule 8210 requires members to submit their books and records for inspection and to appear for testimony in connection with FINRA investigations.
FINRA Rule 2010
FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of FINRA Rule 8210 also violate this rule.
Background Information
Iam Aguilar 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 worked with Iam Aguilar 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.