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Joseph Quintons Resigns from NYLIFE Securities

Joseph Quintons (CRD #: 7173106), a broker formerly registered with NYLIFE Securities, resigned from the firm, according to his BrokerCheck record, accessed on October 29, 2022. Keep reading if you want to know more about his conduct as a broker and details concerning his resignation. 

Resignation from NYLIFE Securities

On August 19, 2022, Joseph Quintons was permitted to resign from NYLIFE Securities after allegedly failing to disclose a reportable administrative action on his initial Uniform Application for Securities Industry Registration or Transfer (Form U4).

FINRA Rule 1122

FINRA Rule 1122 prohibits members from filing membership or registration documents with incomplete or inaccurate information, and from failing to correct misleading information.

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 1122 are automatic violations of Rule 2010. 

Tax Lien

On April 28, 2014, Joseph Quintons was the subject of an $18,530.81 tax lien.

Civil Lien

On February 14, 2014, Joseph Quintons was the subject of a $1,654 civil lien.

Background Information

Joseph Quintons has passed the following exams:

  • Series 6TO – Investment Company Products/Variable Contracts Representative Examination
  • SIE – Securities Industry Essentials Examination

He previously worked for NYLIFE Securities (CRD#:5167).

Kurta Law Can Help

If you worked with Joseph Quintons 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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