Victim of Financial Fraud? Call Now
Home » Broker Blog » Stalin Cruz Barred By FINRA

Stalin Cruz Barred By FINRA

Stalin Cruz (CRD #: 2503461) has been barred by FINRA. This disclosure appears on his BrokerCheck record, accessed on February 16, 2024. Keep reading for more information. 

On October 13, 2023, FINRA barred Stalin Cruz following allegations that he failed to respond to FINRA requests for information. He also allegedly failed to request termination of suspension within three months of the date of the Notice of Suspension and is therefore automatically barred from association with any FINRA member in all capacities. 

FINRA Rule 8210 

FINRA Rule 8210 requires members to provide documents, information, and testimony upon request by FINRA.

Background Information 

Stalin Cruz has passed the following exams: 

  • Series 63 Uniform Securities Agent State Law Examination 
  • Series 57TO Securities Trade Exam 
  • Series 52TO Municipal Securities Representative Examination 
  • Series 79TO Investment Banking Registered Representative Examination 
  • Series 99TO Operations Professional Examination 
  • SIE – Securities Industry Essentials Examination
  • Series 55 Limited Representative-Equity Trader Exam 
  • Series 7 General Securities Representative Examination 
  • Series 53 Municipal Securities Principal Examination 
  • Series 4 Registered Options Principal Examination 
  • Series 24 General Securities Principal Examination 

He has registered with the following firms since 2013: 

  • Alexander Capital L.P. (CRD #: 40077) 
  • Windsor Street Capital (CRD #: 34171) 
  • SW Financial (CRD #: 145012) 

Kurta Law Can Help 

If you have worked with Stalin Cruz and you 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.

Recent Results

$16.75M

Million

Recovery for ARC NYC REIT Investors
Learn More
Kurta Law recovered millions of dollars for investors who purchased the speculative and unsuitable ARC NYC REIT. The arbitration settled for substantially more than the investor losses.

Recent Results

$9.3M

Million

Investors Receive Award for More than their Losses
Learn More
Jonathan Kurta was able to recover over $9.3 million for a group of defrauded investors. The claims were based upon the brokerage firm’s failure to supervise a stockbroker who stole client funds and then prepared and disseminated fake account statements for decades.

Recent Results

$7.1M

Million

Elderly Victims Recover After a Decade of Fraud
Learn More
Jonathan Kurta represented a group of elderly women who were the victims of a financial crime perpetrated by a rogue broker. The broker utilized forged documents to steal funds from the clients’ accounts over a decade.

Recent Results

$4.2M

Million

Investor vs. Royal Alliance
Learn More
Jonathan Kurta represented an investor who alleged that Royal Alliance Associates had not fulfilled their supervisory duties. This allegedly allowed brokers to engage in conversion and RICO violations. Read a copy of the award here.

Recent Results

$1M

Million

Utah Firm Executed Unnecessary Transaction
Learn More
A FINRA panel sided with Kurta Law and found that a Utah brokerage firm executed unnecessary transactions in order to generate more commissions. Read a copy of the award here.

Recent Results

$2M

Million

Arizona Investors Options Trading Scam
Learn More
Kurta Law negotiated a $2 million settlement on behalf of Arizona investors who were defrauded in an options trading scam.

Categories