Account Executive and Broker/Dealer Fraud and Misrepresentation Attorney, Russell L. Forkey, Esq.

March, 2012:

Leonel Ramirez (CRD #5599833, Registered Principal, New Britain, Connecticut) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Ramirez failed to respond in a timely manner to FINRA requests for information and documents. The findings stated that Ramirez failed to provide a complete response to subsequent FINRA requests for information and documents. (FINRA Case #2010021899402).