Buono was barred after refusing to appear for on-the-record testimony requested by FINRA.
The Sonn Law Group is investigating allegations that Neil James Buono forged client signatures. If you or a family member has suffered losses investing, we want to discuss your case. Please contact us today for a free review of your case.
Neil James Buono (CRD#: 6768349) was barred by FINRA after refusing to appear and provide an on-the-record testimony.
FINRA requested the testimony in connection with its investigation into whether he forged the signatures of customers on variable annuity applications and submitted them to his member firm for processing without his customers’ knowledge or consent. Buono is prohibited from associating with any FINRA member firm beginning on September 21, 2020.
Buono has one other disclosure on his BrokerCheck report.
September 2018 Employment Separation After Allegations
- Firm Name: Pruco Securities, LLC
- Termination Type: Voluntary Resignation
- Allegations: Registered Representative created email accounts for two customers and submitted annuity applications on their behalf without their knowledge, including signing their electronic signatures, thereby obtaining compensation to which he was not entitled, which subsequently was recaptured by the company.
Contact Us Today
The Sonn Law Group is currently investigating allegations that Neil Buono forged customer signatures. We represent investors in claims against negligent brokers and brokerage firms. If you or your loved one experienced investment losses, we are here to help. For a free consultation, please call us now at 866-827-3202 or complete our contact form.