Bryan Corona Faces 4-Month FINRA Suspension

Bryan Corona (CRD #: 6025348), a broker formerly registered with Cetera Investment Services, allegedly failed to update his Form U4 in a timely manner, according to his BrokerCheck record, accessed on January 10, 2025. Keep reading to learn more about his alleged conduct as a broker.

FINRA Suspension

On December 9, 2024, Bryan Corona consented to the entry of findings that he allegedly failed to promptly amend his Uniform Application for Securities Industry Registration or Transfer (Form U4) to disclose felony charges.

According to a Letter of Acceptance, Waiver & Consent (AWC) Bryan Corona was allegedly charged with several felonies in November 2022. He allegedly failed to amend his Form U4 within 30 days of learning of these charges, instead amending it in June 2023.

The AWC concluded that these allegations constitute violations of Article V, Section 2(c) of FINRA’s By-Laws and FINRA Rules 1122 and 2010.

Article V of FINRA’s By-Laws

Article V, Section 2(c) of FINRA’s By-Laws requires brokers to keep their application for registration up-to-date and to amend it within 30 days of learning the facts requiring an amendment.

FINRA Rule 1122

FINRA Rule 1122 requires brokers to keep their membership and registration documentation up-to-date and to correct any inaccuracies or misleading information in a timely manner.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Sanctions

Bryan Corona consented to the following sanctions:

• Four-month suspension from associating with FINRA members
• $5,000 fine

His suspension began on December 16, 2024, and will end on April 15, 2025. You can access the AWC here.

Criminal Charges

According to Bryan Corona’s detailed BrokerCheck page, on September 22, 2022, several misdemeanor and felony charges were filed against Bryan Corona. He allegedly pleaded guilty to eight felony charges and seven misdemeanor charges.

Background Information

Bryan Corona has passed the following exams:

• Securities Industry Essentials Examination – SIE
• Investment Company Products/Variable Contracts Representative Examination – Series 6
• Uniform Securities Agent State Law Examination – Series 63

He previously worked for Cetera Investment Services (CRD#:15340) and Wells Fargo Clearing Services (CRD#:19616).

Kurta Law Can Help

If you worked with Bryan Corona and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.