California Securities Fraud Attorney Call Today 800-699-1881
California Securities Fraud Lawyer Firm Overview Attorney Profiles Recoveries Obtained Frequently Asked Questions Testimonials Contact Us
information center
Attorney Advertising Disclaimer
Broker Misrepresentation
Brokerage Firms Sued
Structured Products
Hedge Fund Losses
Recognizing Investment Losses
Recovery of Investment Loss
Securities Arbitration
Reverse Convertible
Securities Fraud
Securities Mediation
Securities Litigation
Stock/ Investment Losses
Suitability/ Unsuitability
Unauthorized Trading
Common Claims
Frequently Asked Questions
Attorney Referrals
Video Center
securities fraud blog
legal blog Click here for a free case evaluation. Read our Articles on Securities Related Issues here. have a question resources
contact us
Are you a new client?
10 Avvo avvo badge
If you need help recovering your losses contact us today. View our complete list of brokerage firms and banks we've sued.

Astrid Sylvia Reinis Suspended and Fined for Failure to Disclose Unauthorized Loan from Customer

The Financial Industry Regulatory Authority suspended and fined broker Astrid Sylvia Reinis of Anaheim, California for borrowing $10,000 from a customer in violation of her then-employing firm's—SII Investments, Inc.— written supervisory procedures.

FINRA Case #2010023882101

FINRA also cited Reinis' completion of a 2009 compliance questionnaire in which Reinis allegedly and falsely indicated that she had not "borrowed from or loaned money to any client, excluding family members."

Many FINRA-member firms instruct their associates via written policy specifically on the matter of borrowing funds from a firm customer. In many cases, this activity is expressly prohibited, with some firms enumerating certain strict exemptions to this policy.

If a broker has borrowed money from you and failed to repay the loan in violation of firm policy or engaged in other activities that have proven harmful to your investments or interests, please call The Law Offices of Jonathan W. Evans & Associates at (800) 699-1881 for an investigation and consultation.

The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
Located at 12711 Ventura Boulevard, Suite #440 Studio City, CA 91604. View Map
Phone: (800) 699-1881 | Local Phone: (818) 760-9880.