Garyn Angel of Port Richey, Florida submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) for allegedly engaging in private securities transactions without his firm’s written approval.
From February 1999 through March 2009 Angel was registered through FINRA member Transamerica Financial Advisors, Inc. (Transamerica). On March 21, 2009, Invest Financial Corporation (Invest Financial) filed a Form U4 for Angel to commence his association with Invest Financial. In February 2013, Invest filed a Form U5 terminating Angel due to a customer complaint filed in January 2013. Continue reading →