Hernan Esteban Arbizu, Registered Representative, Fairfield, Connecticut

FINRA Investment and Securities Fraud and Mismanagement Attorney, Russell L. Forkey, Esq.

January, 2011:

Hernan Esteban Arbizu (CRD #4610869, Registered Representative, Fairfield, Connecticut, formerly licensed with J.P. Morgan Securities, Inc.) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Arbizu failed to respond to FINRA requests for information. (FINRA Case #2008013619001).