South Florida Arbitration & Litigation Lawyer Blog
Stock Broker Fraud and Misrepresentation FINRA Arbitration and Litigation Attorney, Russell L. Forkey, Esq.
January, 2012:
Lorenzo Fiol Jr. (CRD #2454926, Registered Principal, Morton Grove, Illinois) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Fiol consented to the described sanction and to the entry of findings that he failed to respond to FINRA requests for information and documents regarding outside business activities. The findings stated that Fiol’s attorney informed FINRA that Fiol declined to respond. (FINRA Case #2010024383201),