Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with Andrew Yoro. If you suffered losses investing with Andrew Yoro, then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Andrew Yoro (CRD# 6870944)
As of April 14, 2020, Andrew Yoro’s FINRA BrokerCheck Report contains the following:
BARRED: FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
Disclosure Events
1 Regulatory Event(s)
1 Employment Separation After Allegations
UPDATE 4/13/2020: According to FINRA’s January 2020 Disciplinary Actions: “Andrew Patrick Yoro (CRD #6870944, Arlington, Texas) November 1, 2019 – An OHO decision became final in which Yoro was barred from association with any FINRA member in all capacities. The sanction was based on findings that Yoro cheated on the Series 7 examination. The findings stated that before he took the exam, Yoro had attested that he had read and agreed to abide by FINRA’s Test Center Rules of Conduct that prohibit the use or attempted use of any study materials during the exam session. Yoro also agreed not to use any personal items, including study materials, during the exam and not to access the locker provided to him for his personal items during any unscheduled break in the exam. However, during the exam sessions, Yoro took three unscheduled breaks, which he used to consult his study guide. After consulting the study guide, Yoro reviewed previously answered questions from the exam, and changed several incorrect answers to correct answers. (FINRA Case #2018056934901)”
Current and Previous Registrations
11/22/2017 – 07/26/2018 CHARLES SCHWAB & CO., INC. (CRD#:5393) Westlake, TX
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses investing with Andrew Yoro and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
This information is all publicly available and is being provided to you by Galvin Legal, PLLC.
Galvin Legal, PLLC is a national securities arbitration, securities mediation, securities litigation, securities fraud, securities regulation and compliance, and investor protection law practice. For more information on Galvin Legal, PLLC and its representation of investors, please visit www.galvinlegal.com or call 1-800-405-5117.
