Lizabeth Gotuaco Ty – Selling Unregistered Securities

New Orleans investment fraud attorneyLizabeth 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.

Alan Rosca (1123 Posts)

Alan is a securities lawyer. He also teaches Securities Regulation at the Cleveland-Marshall College of Law. He focuses his legal practice on complex commercial and financial litigation and arbitration, particularly in the areas of securities and investment fraud. His office is in Cleveland, Ohio.


In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow cases about which we report, and/or to publish subsequent blogs regarding various developments that may occur in such cases. Readers are encouraged to conduct their own research regarding any such cases and any developments that may or may not have occurred in such cases.