JOSE ANTHONY QUINONES (CRD #1310742) Has a Disciplinary History on FINRA BrokerCheck

JOSE ANTHONY QUINONES (CRD #1310742) was previously registered as a broker. Jose Quinones’ FINRA BrokerCheck profile notes that FINRA has barred him from acting as a broker or associating with a broker-dealer firm. We reviewed his BrokerCheck report on February 25, 2026. It reflects one regulatory event, one termination, one customer dispute, and two criminal disclosures. If you invested with Jose Quinones and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Regulatory Action(s)

Jose Quinones’ FINRA BrokerCheck Report reflects one regulatory disclosure. A summary is below:

On June 10, 2025, FINRA entered into an Acceptance, Waiver & Consent with Jose Quinones. FINRA barred him in all capacities. FINRA found that he refused to provide documents and information requested in an investigation tied to an amended Form U5. The amended Form U5 said he was under review for potential involvement in an undisclosed outside business activity when he was terminated for failing to renew his securities registration. You can review the underlying disciplinary document here: AWC

Employment Separation

Jose Quinones’ FINRA BrokerCheck Report reflects one employment separation disclosure. A summary is below:

On December 31, 2024, PFS Investments Inc. reported that it permitted Jose Quinones to resign. The firm stated he was under internal review for potential involvement with an undisclosed outside business activity, Next Level Holdings. The firm also stated the separation occurred after he failed to renew his securities registration. Jose Quinones denied involvement in Next Level Holdings.

Investor Disputes / Customer Complaints

Jose Quinones’ FINRA BrokerCheck Report reflects one customer dispute disclosure. A summary of the dispute is below:

On November 10, 2025, a customer alleged Jose Quinones recommended an unsuitable, high-risk investment in a limited liability company. The customer also alleged he failed to discuss a properly diversified portfolio. The customer sought $500,000 in damages. FINRA BrokerCheck lists the matter as pending and tied to a FINRA arbitration in Orlando, Florida.

Criminal Charges

Jose Quinones’ FINRA BrokerCheck Report reflects two criminal disclosures. Summaries are below:

On June 2, 2020, Jose Quinones was charged with battery by strangulation in Orange County, Florida. FINRA BrokerCheck lists the disposition as nolle prosequi (nolle pros).

FINRA BrokerCheck also lists a criminal matter dated August 25, 1978 for one count of receiving stolen property. The report lists the disposition as no finding and includes a broker comment stating the matter was cleared by NASD in 1991.

Rule Summary #1: FINRA Rule 8210 (Provision of Information and Testimony)

FINRA Rule 8210 allows FINRA to request documents, information, and testimony during an investigation. When a person does not respond, FINRA can treat that failure as a serious compliance issue. Refusals can lead to bars because FINRA relies on this rule to enforce industry standards.

Rule Summary #2: FINRA Rule 3270 (Outside Business Activities of Registered Persons)

FINRA Rule 3270 requires registered persons to give their firm prior written notice of outside business activities. Firms use that notice to assess conflicts and decide whether to restrict or prohibit the activity. Disputes can arise when an outside activity is not disclosed or is not approved.

Why This Matters to Investors (Regulation Best Interest)

Regulation Best Interest (Reg BI) is a U.S. securities regulation. It strengthens the standard of conduct that broker-dealers owe to retail investors. It applies when they recommend securities transactions or investment strategies. The U.S. Securities and Exchange Commission adopted Reg BI. It became effective on June 30, 2020. Reg BI aims to protect investors while preserving access to brokerage products and services.

Reg BI requires broker-dealers and financial advisors to act in a retail customer’s best interest at the time of a recommendation. They must not place their own financial or other interests ahead of the customer’s. This standard is higher than the older “suitability” rule. Suitability meant a recommendation only had to be appropriate. It did not have to be the best option or free of conflicts.

Reg BI has four key obligations:

Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and the recommendation. This includes fees, the scope of services, and conflicts of interest.

Care Obligation – Broker-dealers must use reasonable diligence, care, and skill. They must consider costs, risks, and alternatives when making a recommendation.

Conflict of Interest Obligation – Firms must identify conflicts of interest. They must disclose them and mitigate or eliminate them. This includes conflicts that create incentives to favor one product over another.

Compliance Obligation – Firms must maintain policies and procedures. Those policies should be designed to ensure compliance with Reg BI as a whole.

Reg BI applies to each recommendation. It is not a continuous duty like the fiduciary standard for registered investment advisers. Even so, it narrows the gap. It puts more focus on costs, conflicts, and investor-focused decision-making.

Overall, Regulation Best Interest promotes transparency. It also aims to improve the quality of investment recommendations. It is designed to reinforce trust between retail investors and broker-dealers in the U.S. securities markets.

Background Information (from BrokerCheck)

Based on His FINRA BrokerCheck report, Jose Quinones:

Is not currently registered as a broker.

Has passed the Securities Industry Essentials (SIE) exam. Jose Quinones has also passed Series 6.

Was previously registered with firms that include PFS Investments Inc. and Foresters Equity Services, Inc.

Kurta Law Can Help

If you have worked with Jose Quinones and you have concerns about his activity, Kurta Law may be able to help you evaluate your legal options. To speak with Kurta Law, call 877-600-0098 or email info@kurtalawfirm.com.

Helpful resources: Securities Attorney | Securities Fraud

For nearly 20 years, Kurta Law has advocated for investors and helped hold financial professionals accountable. Our firm represents clients nationwide in securities arbitration and related disputes. If you believe a broker or firm mishandled your account, an attorney can review the facts and explain possible next steps.