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Lineo Poll Subject of CIRO Regulatory Action

Lineo Poll (CRD #: 7804943), a broker registered with Andbanc Brokerage, was the subject of a CIRO regulatory action, according to his BrokerCheck record, accessed on May 31, 2025. Investors may have also engaged his services through Andbanc Advisory. If you want to know more about his alleged conduct as a broker, read on.

CIRO Regulatory Action

On February 25, 2025, the Canadian Investment Regulatory Organization (CIRO) entered into a settlement agreement with Lineo Poll. Lineo Poll allegedly admitted to engaging in personal financial dealings with a client and an outside business activity without the approval of his firm.

Lineo Poll consented to the following sanctions:

  • $25,000 fine
  • Disgorgement of $4,600
  • $5,000 in regulatory costs

He also agreed to complete the Conduct and Practices Handbook examination if he chooses to re-register with CIRO.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Lineo Poll has passed the following exams:

  • General Securities Representative Examination – Series 7TO
  • Securities Industry Essentials Examination – SIE
  • General Securities Representative Examination – Series 7
  • Uniform Investment Adviser Law Examination – Series 65

Lineo Poll is a registered broker and a registered investment adviser in Florida.

He has also worked for Wachovia Securities (CRD#:19616) and Citicorp Financial Services Corporation (CRD#:17053).

Kurta Law Can Help

If you worked with Lineo Poll 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 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. 

 

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