Carlos Suazo (CRD # 5481182, Registered Representative, Marina Del Rey, California) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Suazo misused $12,000 that an individual gave him to purchase a variable annuity, but Suazo never invested the funds and never returned the funds to the individual. The findings stated that Suazo’s firm repaid the individual. The findings also stated that Suazo failed to respond to FINRA requests for information.

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