July 2, 2015- San Antonio, Texas
Emily A. Pena , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she used personal funds to pay life insurance premiums for three customers, unrelated to her thereby generating compensation to which she was not entitled. In addition, FINRA alleged that she provided a customer with a credit reimbursement letter that she fabricated, guaranteeing the customer against losses due to surrender fees in violation of FINRA Rule 2010.
AWC No. 2014041353501
Pena was barred from the securities industry.
According to FINRA records, Pena was registered with NYLife Securities from 5/2009-5/2014.
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