According to FINRA, Lizabeth Gotuaco Ty (CRD #4737319, Sugarland, Texas) recently submitted an AWC in which she was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Ty consented to the sanction and to the entry of findings that she failed to provide FINRA with requested documents and information during the course of an investigation into allegations that she sold unregistered securities.
For FINRA’s full findings, see FINRA Case #2016049315001.
According to her FINRA Broker Report, Ty was registered with Park Avenue Securities from 01/2006 – 07/2015.
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