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John Fabiano Suspended by FINRA For Alleged Failure to Provide Information

John Fabiano (CRD #: 4576720), a broker formerly registered with LPL Financial, has been suspended by FINRA, according to his BrokerCheck record, accessed on December 13, 2022. Read on to learn more about his alleged conduct as a broker.

FINRA Suspension

On September 15, 2022, John Fabiano received a Notice of Suspension alleging that he failed to respond to FINRA requests for information. He was indefinitely suspended starting on October 11, 2022, and his suspension will continue until FINRA receives the requested information or the suspension converts to a bar.

FINRA Rule 9552

FINRA Rule 9552 penalizes members who fail to provide documents, information, or testimony requested by FINRA with a suspension. This suspension converts to a bar if the member fails to request an end to their suspension within three months.

Background Information

John Fabiano has passed the following exams:

  • Series 65 – Uniform Investment Adviser Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination
  • Series 26 – Investment Company Products/Variable Contracts Principal Examination

He has also worked for the following firms:

  • LPL Financial (CRD#:6413)
  • Securities Service Network (CRD#:13318)
  • American Funds Distributors (CRD#:6247)
  • Sammons Financial Network (CRD#:158538)
  • John Hancock Distributors (CRD#:5249)
  • Quick & Reilly (CRD#:11217)

Kurta Law Can Help

If you worked with John Fabiano 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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