Lizabeth Gotuaco Ty – Selling Unregistered Securities
Lizabeth Gotuaco Ty Allegedly Sold Unregistered Securities while Registered with Park Avenue Securities, LLC
Lizabeth Gotuaco Ty allegedly sold unregistered securities while registered with Park Avenue Securities, LLC, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC) currently under review by attorneys Alan Rosca and James Booker.
Park Avenue Securities, on March 18, 2016, reportedly filed an Amended Form U5 with FINRA disclosing that a number of claimants had filed statements of claim with FINRA alleging that Ty sold unregistered securities, the AWC notes.
The Peiffer Rosca Wolf securities lawyers are currently investigating Lizabeth Gotuaco Ty’s alleged sale of unregistered securities and private securities transactions.
Lizabeth Gotuaco Ty Barred for Alleged Failure to Provide Documents and Information during the Course of an Investigation into Allegations that Ty Sold Unregistered Securities
Lizabeth Gotuaco Ty allegedly failed to provide documents and information as requested by FINRA staff in a letter dated April 19, 2016, according to the aforementioned AWC currently under review by attorneys Alan Rosca and James Booker.
Lizabeth Gotuaco Ty, by refusing to produce said documents and information as requested pursuant to FINRA Rules, allegedly violates FINRA Rules. As a result, Lizabeth Gotuaco Ty allegedly consented to the imposition of a bar from associating with any FINRA member in any capacity.
One should also note that, according to the AWC, Lizabeth Gotuaco Ty neither admitted nor denied the FINRA findings.
Securities Lawyers Investigating
The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of the sale of unregistered securities and are currently investigating Lizabeth Gotuaco Ty’s sale of unregistered securities. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.
Investors who believe they lost money as a result of Lizabeth Gotuaco Ty’s sale of unregistered securities may contact the securities lawyers at Peiffer Rosca Wolf, Alan Rosca or James Booker, for a free no-obligation evaluation of their recovery options, at 888-998-0520.