Kittiany Davis Barrios Barred by FINRA

Kittiany Davis Barrios (CRD #: 6941840), formerly registered with PFS Investments, has been barred by FINRA, according to her BrokerCheck record, accessed on November 7, 2024. Keep reading if you have questions regarding her conduct.

Bar by FINRA

On October 17, 2024, Kittiany Davis Barrios consented to the entry of findings that she allegedly refused to provide documents and information or to appear for on-the-record testimony in connection with a FINRA investigation.

The investigation concerned a FINRA Rule 4530(f) filing made by PFS Investments which allegedly disclosed a civil complaint filed against the firm by a client.

A Letter of Acceptance, Waiver & Consent (AWC) concluded that this alleged refusal to comply with a FINRA investigation violated FINRA Rules 8210 and 2010.

FINRA Rule 4530

FINRA Rule 4530(f) requires members to file copies of indictments, criminal complaints, and other litigation and arbitration-related documents with FINRA.

FINRA Rule 8210

FINRA Rule 8210 requires members to provide documents, information, 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

Kittiany Davis Barrios was permanently barred by FINRA starting October 17, 2024. You can access the full AWC here.

Termination from PFS Investments 

Kittiany Davis Barrios was permitted to resign by PFS Investments following allegations that she participated in undisclosed outside business activities and/or private securities transactions.

Outside Businesses 

Kittiany Davis Barrios has the following outside businesses listed on her detailed BrokerCheck record:

• Sales of Investment-Related Products for Primerica or PFS Investments 
• David Davis Barrios Associates 
• Titi & Mili: Real estate investing and e-commerce 

FINRA Rule 3280 – Private Securities Transactions

FINRA Rule 3280 requires brokers to provide written notice to their firm before engaging in private securities transactions. 

FINRA Rule 3270 – Outside Business 

FINRA Rule 3270 requires brokers to inform their firm of any outside business activities or any investments sold away from the firm. The brokerage firm may prohibit the activity if the firm believes the proposed activity may compromise the broker’s duties. Firms may also require brokers to seek approval of any outside business.

Background Information 

Kittiany Davis Barrios has passed the following exams: 

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

She previously worked for PFS Investments (CRD#:10111).

Kurta Law Can Help 

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

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that 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. Do not let securities fraud go unchecked. Start your recovery process today.