Jaime Quintero Indefinitely Suspended by FINRA
Jaime Quintero (CRD #: 4126618) has been suspended by FINRA, according to his BrokerCheck record, accessed on April 16, 2022. If you want to know more about Jaime Quintero’s conduct as a broker, read on.
Starting on February 2, 2022, Jaime Quintero was indefinitely suspended from associating with any FINRA member firms in all capacities. He allegedly failed to respond to FINRA requests for information, in violation of FINRA Rule 9552.
This suspension will continue until Jaime Quintero requests termination of the suspension or April 29, 2022, when he will be automatically barred from practicing as a broker.
FINRA Rule 9552
FINRA Rule 9552 penalizes FINRA members for failing to keep up-to-date records and failing to provide information to FINRA on request. Members receive a Notice of Suspension, which converts to a bar from associating with FINRA members if the individual does not request a termination of their suspension.
Revocation of Insurance License
On October 30, 2019, the California Department of Insurance alleged that Jaime Quintero performed two transactions that violated the California state insurance code. This dispute was denied, but Jaime Quintero’s insurance license was revoked.
Jaime Quintero 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
He has also worked for the following firms:
- American Independent Securities Group (CRD#:135288)
- AFA Financial Group (CRD#:127648)
- Brecek & Young Advisors (CRD#:40395)
- Vantage Securities (CRD#:112386)
- AIG Sunamerica Capital Services (CRD#:13158)
Kurta Law Can Help
If you worked with Jaime Quintero and you have concerns about your investments, please contact us today at 877-600-0098 or email@example.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.