Andrew Perona Sanctioned for Taking Clients' Personal Information to New Firm Without Consent

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FINRA fined and suspended Lincoln Financial Advisors (Peoria, Arizona) broker Andrew David Perona for taking customers' nonpublic personal information from prior firm Waddell & Reed (Scottsdale, AZ) without their knowledge or consent, and in contravention of SEC privacy rules.

According to AWC #2019062198302, Andrew Perona (CRD #2452636) after resigning from Waddell & Reed e-mailed nonpublic personal information about Waddell & Reed customers to his new firm.

Investigators found that Perona also removed account numbers and balances for at least 50 Waddell & Reed customers by sending the information to a private e-mail account without Waddell & Reed or the customers' knowledge or consent.

If you have invested with Arizona broker Andrew David Perona or with any financial adviser or representative who improperly exposed your nonpublic personal information or whose violation of privacy policies or laws has proven harmful to your investments or interests, please call an experienced FINRA arbitration attorney at The Law Offices of Jonathan W. Evans & Associates at (800) 699-1881 for an investigation and consultation.

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