As published in the Financial Industry Regulatory Authority (“FINRA”) disiplinary report for April 2012, Andre Mari Gonzales of High Point, North Carolina was barred from association with any FINRA member in any capacity. The sanction was based on findings that Gonzales failed to respond to FINRA requests for information. The decision has been appealed to the NAC and the sanction is not in effect pending the appeal. According to Gonzales’ CRD report, Gonzales was discharged from SunTrust Investment Services for allegedly “copying and pasting client signatures on required bank documents.”
If you held accounts with Andre Mari Gonzales and Wachovia Securities or SunTrust Investment Services and sustained investment losses, you can contact our firm for a free consultation, and to discuss your legal rights and options. A securities arbitration claim or lawsuit against these brokerage firms may help you recover some of your losses.
