The allegations read: Without admitting or denying the findings, perez-cubero consented to the sanction and to the entry of findings that he failed to produce information and documents requested by finra during an investigation that originated from a form u5 filed by his member firm. The findings stated that the firm disclosed on the form u5 that perez-cubero had been terminated due to allegations of an unauthorized disbursement from a customer's checking account that was covered by an unauthorized transfer from customer's brokerage account. Although perez-cubero initially cooperated with finra's investigation by providing documents and information and appearing for testimony, ultimately, he ceased doing so.
