According to a recent FINRA Disciplinary Actions announcement, Jose Martin Canales (CRD #1945614, El Paso, Texas) submitted an AWC in which he was barred from association with any FINRA member in any capacity.
Without admitting or denying the findings, Canales consented to the sanction and to the entry of findings that he failed to provide documents and information, and to appear for testimony in response to FINRA requests. The findings stated that FINRA was investigating events leading up to Canales’ termination from his member firm, including, among other things, his handling of customer funds. Canales, through his attorney, advised FINRA that he would not appear for testimony or provide documents and information in response to FINRA’s requests.
For FINRA’s full findings, see FINRA Case #2014041231501.
According to his FINRA Broker Report, Canales was registered with Lincoln Financial Securities Corporation from September 2002 through May 2014.
The foregoing information, which is all publicly available on FINRA’s website, is being provided by The White Law Group.
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee. The firm represents investors throughout the country in claims against brokerage firms.
For more information on the firm, visit https://www.whitesecuritieslaw.com.
For a free consultation with a securities attorney, please call the firm’s Chicago office at 312/238-9650.