Carlos Daniel Rivera (CRD # 5079860, Registered Representative, Bayonne, New Jersey) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Rivera failed to disclose to his member firm an outside brokerage account that he opened after his firm expressly told him that he could not maintain outside brokerage accounts that he opened prior to his employment with the firm. The findings stated that Rivera forged a letter that purported to be from an employee of his firm, instructing the firm where he maintained an outside brokerage account to lift trading restrictions on his newly opened, undisclosed account. (FINRA Case # 2007010600101)

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