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Tony Vadino Suspended Following a Failure to Respond to FINRA Requests

Tony Vadino (CRD #: 874586), a previously registered broker with Equitable Advisors, has been suspended by FINRA. This disclosure appears on his BrokerCheck record, accessed on December 12, 2023. Keep reading if you have concerns about his alleged conduct. 

On September 19, 2023, Tony Vadino allegedly failed to respond to FINRA requests for information. The suspension began October 13, 2023, and will continue until information is provided to FINRA or until it converts into a bar. 

FINRA Rule 9552

FINRA Rule 9552 states that members who fail to provide documents, information, or testimony requested by FINRA will be suspended. Members who fail to request an end to their suspension within three months are permanently barred.

FINRA Rule 2010

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

Civil Lien 

Tony Vadino is the subject of a civil lien for $36,019.87. 

Background Information 

Tony Vadino has passed the following exams: 

  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 
  • Series 1 Registered Representative Examination 
  • Series 24 General Securities Principal Examination 

During his 38 years of experience, he has registered with 11 firms: 

  • Equitable Advisors (CRD #: 6627) 
  • LPL Financial (CRD #: 6413) 
  • 1st Global Capital Corp (CRD #: 30349) 
  • Infinex Investments (CRD #: 35371) 
  • M&I Financial Advisors (CRD #: 16517)
  • National Planning Corporation (CRD #: 29604) 
  • Fifth Third Securities (CRD #: 628) 
  • Old Kent Financial Advisors (CRD #: 17039) 
  • Sigma Financial Corporation (CRD #: 14303) 
  • Pruco Securities Corporation (CRD #: 5685) 
  • Mutual Service Corporation (CRD #: 4806) 

Kurta Law Can Help 

If you have worked with Tony Vadino and 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.