1300 W. Washington Street

Phoenix, AZ 85007-2996

 

 

Main: (602) 542-4242

Email: SecuritiesDiv@azcc.gov

News

Commission Revokes Securities Salesman Registration and Investment Adviser Rep License of Buckeye Man

 license of Roman Alejandro Corona of Buckeye based upon disciplinary action taken by the Financial Industry Regulatory Authority (FINRA).

In July 2019, Corona entered into a Letter of Acceptance, Waiver, and Consent with FINRA, in which he consented to a bar from associating with any FINRA member firm in any capacity.  According to the FINRA Consent, Corona was discharged by his employer due to concerns that he did not disclose his outside brokerage accounts and initially denied he had such accounts when asked. Corona then refused to appear for on-the-record testimony in violation of FINRA rules. The Corporation Commission found the revocations of Corona’s Arizona registration and license to be appropriate, in the public interest and necessary for the protection of investors.

All documents relating to this agenda item can be found in the Corporation Commission's online docket at https://edocket.azcc.gov and entering docket number S-21120A-20-0279.

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Arizona Corporation Commission

1200 W. Washington Street

Phoenix, AZ 85007

 

Corporations Division

1300 W. Washington Street

Phoenix, AZ 85007

 

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