The Financial Industry Regulatory Authority Office of Hearing Officers barred broker Christina Marie Curley in a default decision following her failure to respond to requests for information, appear and testify at an on-the-record interview.
FINRA's Complaint charged Curley with unethical conduct while employed at Pruco Securities, LLC. Curley was also employed by Prudential Insurance Company of America at the time, but FINRA's Complaint did not allege any misconduct at Prudential.
FINRA OHO Proceeding No. 2010022547501
Specifically, FINRA barred Curley after she failed to provide the Department of Enforcement with bank records, copies of checks and other information with which to determine whether Curley had unethically manipulated her sales numbers to increase her compensation. Enforcement had planned to investigate whether Curley presented checks drawn on closed bank accounts.
Pruco separated from Ms. Curley on March 26, 2010, following her alleged misconduct.
Although FINRA was unable to compel Curley to cooperate with its investigation, if you believe you have been the victim of a fraudulent scheme or manipulation at the hands of Curley, another stockbroker or FINRA-member firm, please call The Law Offices of Jonathan W. Evans & Associates at (800) 699-1881 for an investigation and consultation.