Justin Anderson Suspended by FINRA Over Alleged Refusal to Provide Testimony
Justin A. Anderson (CRD #: 6389728), a broker formerly registered with Cuso Financial Services, has been barred by FINRA, according to his BrokerCheck record, accessed on May 18, 2023. Keep reading to learn more about his alleged conduct as a broker.
FINRA Suspension
On November 23, 2022, Justin Anderson consented to the entry of findings that he allegedly refused to appear for on-the-record testimony requested by FINRA in connection with an investigation into his termination from Cuso Financial Services.
A Letter of Acceptance, Waiver & Consent (AWC) alleged that, in a Uniform Termination Notice for Securities Industry Registration (Form U5), Cuso Financial Services disclosed that Justin Anderson was under review for “client signature discrepancies on account documentation.”
Justin Anderson allegedly informed FINRA of his refusal to appear for testimony on November 15, 2022.
The AWC concludes that this alleged refusal violated FINRA Rules 8210 and 2010.
FINRA Rule 8210
FINRA Rule 8210 requires members to provide information, documents, and testimony upon request by FINRA.
FINRA Rule 2010
FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.
Sanctions
Justin Anderson was indefinitely barred by FINRA starting on November 23, 2022.
You can read the full AWC here.
Background Information
Justin Anderson has passed the following exams:
- Series 66 – Uniform Combined State Law Examination
- Series 63 – Uniform Securities Agent State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 7 – General Securities Representative Examination
He previously worked for the following firms:
- Cuso Financial Services (CRD#:42132)
- Purshe Kaplan Sterling Investments (CRD#:35747)
- AXA Advisors (CRD#:6627)
Kurta Law Can Help
If you worked with Justin Anderson 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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