New Jersey broker Sergey Pustelnik was barred by FINRA for failure to cooperate with the investigation of suspicious trading activities. (See AWC No. 2011029713003)
During the period of October 1, 2010 through December 31, 2013, FINRA’s Department of Market Regulation conducted an investigation of suspicious trading activities occurring through a FINRA-member firm. In conducting this investigation, FINRA requested that Respondent Pustelnik provide a copy of a .pst file containing emails in a Gmail account used by Pustelnik for business and personal purposes.
FINRA stated that Pustelnik refused to produce all of the emails requested, and as a result engaged in misconduct violating FINRA rules. As a result, according to FINRA’s Broker Check Sergey Pustelnik (CRD #4439199) was permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public.
Sergey Pustelnik was an acting broker for 8 years and was previously registered with the following firm(s):
LEK SECURITIES CORPORATION
CRD #33135
NEW YORK, NY
03/2011 – 01/2015
GENESIS SECURITIES, LLC
CRD #46992
NEW YORK, NY
01/2002 – 09/2010
If you have suffered financial losses as a result of your broker or brokerage firm’s misconduct, contact the Hanley Law to discuss your legal options. The Hanley Law is dedicated to helping investors who have suffered losses as a result of securities fraud. Contact the Hanley Law toll free at (239) 649-0050 for a complimentary initial consultation.