Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on March 20, 2018 indicate that former New York-based Empire Asset Management Company broker Paul Bustamante has been sanctioned by FINRA in connection to alleged rule violations and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Bustamante (CRD# 4175542).
Paul Bustamante has spent seventeen years in the securities industry and was most recently registered with Empire Asset Management Company in New York, New York (2016-2017). Previous registrations include Bishop Rosen & Company in New York, New York (2006-2016) and McLaughlin Piven Vogel Securities in New York, New York (2000-2006). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 19, 2000; Series 7 (General Securities Representative Examination), which he obtained on June 18, 2001; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on June 5, 2000. He is currently not registered with any state or firm.
According to his BrokerCheck report, Paul Bustamante has received one FINRA sanction and four unsatisfied tax liens, and he was discharged from his former employer in connection to alleged rule violations.