Conrad Tambalo Bautista, a registered representative from McKinney, Texas, submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA (Financial Industry Regulatory Authority) member in any capacity. The AWC was entered into to resolve a FINRA investigation into whether Bautista may have been engaged in fraudulent investment schemes, been involved in undisclosed outside business activities and/or private securities transactions, borrowed money from customers, and/or failed to disclose an Internal Revenue Tax Lien on his Form U4.
According to FINRA records which may be accessed here, Bautista previously was registered with the following broker dealers in and around Richardson, Texas:
- Cuso Financial Services 01/2010-03/2013
- SWBC Investment Services 01/2007-12/2009
- Financial Network Investment Corp 07/2004-12/2006
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Disclosure: I have no positions in any stocks mentioned, and no plans to initiate any positions within the next 72 hours.