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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 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.