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Juan Guana Suspended by FINRA

Juan Guana (CRD #: 6121819), a previously registered broker with NYLife Securities, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on August 26, 2024. Keep reading if you have questions regarding his alleged conduct. 

Regulatory Action 

On June 25, 2024, Juan Guana was suspended by FINRA following allegations that he failed to respond to requests for information. This suspension will continue until the required information is provided or the suspension converts to a bar. 

Employment Separation 

NYLife Securities fired Juan Guana following allegations that he executed an unauthorized insurance policy loan transaction and requested and accepted money from another policy owner in violation of company policy. On December 8, 2023, the company allegedly filed a fraud report with the Texas Department of Insurance. 

Background Information 

Juan Guana has passed the following exams: 

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

Kurta Law Can Help 

If you worked with Juan Guana and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

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