Yoandra Lopez Barred by FINRA for Allegedly Failing to Provide Testimony
Yoandra Lopez (CRD #:6902387), a broker formerly registered with Wells Fargo Clearing Services, has been barred by FINRA, according to her BrokerCheck Record accessed on November 23, 2021.
According to an Acceptance, Waiver, and Consent agreement dated October 12, 2021, Yoandra Lopez consented to the findings that she refused to appear for on-the-record testimony requested by FINRA.
The findings stated that this matter originated from FINRA’s investigation concerning the Uniform Termination Notice for Securities Industry Registration (Form U5) filed by Yoandra Lopez’s member firm Wells Fargo Clearing Services. By failing to respond timely to the Rule 8210 document requests, Yoandra Lopez violated FINRA Rules 8210 and 2010.
FINRA Rule 8210 states that for purposes of an investigation, FINRA has the right to require a person subject to FINRA’s jurisdiction to provide information orally [or] in writing with respect to any matter involved in the investigation.
A violation of FINRA Rule 8210 is also a violation of FINRA Rule 2010, which requires member firms and their associated persons to “observe high standards of commercial honor and just and equitable principles of trade.”
You can read a copy of the bar here.
As part of the terms of the AWC, Yoandra Lopez consented to a bar from associating with any FINRA member in all capacities.
Employment Resignation Details
On October 16, 2021, Yoandra Lopez resigned from her position at Wells Fargo Clearing Services. According to the allegations, she was scheduled to have an interview with a bank investigator regarding her receipt of a business loan from the Small Business Administration.
Yoandra Lopez has passed the following exams:
- Series 63 – Uniform Securities Agent State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 6 – Investment Company Products/Variable Contracts Representative Examination
Besides Wells Fargo Clearing Services, Yoandra Lopez has not worked with any other firm.
Kurta Law Can Help
If you have been victimized by Yoandra Lopez as a broker, don’t hesitate to get in touch with us today at 877-600-0098 or firstname.lastname@example.org for a free consultation.
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