Allegation type: Employment Separation After Allegations
Allegation status:
The allegations read: Subsequent to an independent investigation, mr. Abeyta was terminated due to violations of regulation sp, the firms' code of ethics, and the firm's policies & procedures. Each of the preceding rules and or documents prohibit the dissemination of any customer non-public private information ("npi") to unauthorized third-parties without either obtaining prior client consent or the client's desire to opt out of such dissemination.
