{"id":2550,"date":"2025-09-25T07:17:56","date_gmt":"2025-09-25T07:17:56","guid":{"rendered":"https:\/\/www.silvermillerlaw.com\/?post_type=disciplinary_actions&p=2550"},"modified":"2025-10-15T22:11:52","modified_gmt":"2025-10-15T22:11:52","slug":"broker-rezwan-alam-barred","status":"publish","type":"disciplinary_actions","link":"https:\/\/www.silvermillerlaw.com\/finra-disciplinary-actions\/broker-rezwan-alam-barred\/","title":{"rendered":"South Florida Broker Rezwan Alam Barred From the Securities Industry"},"content":{"rendered":"

The Financial Industry Regulatory Authority (<\/span>FINRA<\/b>) has <\/span>barred South Florida broker Rezwan Alam (CRD #5349513<\/a>)<\/b> from the securities industry after he failed to cooperate with a regulatory investigation.<\/span><\/p>\n

According to FINRA records, Alam\u2014who worked in <\/span>Palm Beach, Delray Beach, and Boca Raton, Florida<\/b>\u2014had a 14-year career as a broker and investment advisor, during which he was affiliated with <\/span>eight different firms<\/b>. Most recently, he was employed by <\/span>PNC Investments<\/b> in Delray Beach.<\/span><\/p>\n

Failure to Respond Leads to Permanent Bar<\/b><\/h3>\n

On <\/span>March 10, 2025<\/b>, FINRA issued Alam a <\/span>Notice of Suspension<\/b> for failing to respond to requests for information during an investigation. Under FINRA rules, registered brokers have three months to request reinstatement or otherwise resolve the suspension. Alam did not respond within that timeframe, resulting in an <\/span>automatic and permanent bar<\/b> from associating with any FINRA member firm in any capacity.<\/span><\/p>\n

Why FINRA Cooperation Matters<\/b><\/h3>\n

When brokers fail to respond to FINRA inquiries, it often raises concerns about potential <\/span>misconduct or investor harm<\/b>. The refusal to cooperate prevents regulators from determining whether clients were exposed to improper investment practices, unauthorized trading, or other violations of securities laws.<\/span><\/p>\n

Silver Miller Protects Investors Against Broker Misconduct<\/b><\/h3>\n

Investors who worked with <\/span>Rezwan Alam<\/b> or <\/span>PNC Investments<\/b> and experienced financial losses may have legal options for recovery.<\/span><\/p>\n

Silver Miller<\/b><\/a> represents investors nationwide in cases involving <\/span>broker fraud, negligence, and investment mismanagement<\/b>. Our attorneys pursue justice through <\/span>FINRA arbitration<\/b> and <\/span>civil litigation<\/b> to help victims recover what they\u2019ve lost.<\/span><\/p>\n

Contact<\/a> Silver Miller<\/b> to discuss your potential claim in a free, confidential consultation. We work on a contingency fee basis, meaning you don\u2019t pay unless we recover for you.<\/span><\/p>\n","protected":false},"featured_media":0,"template":"","meta":{"_acf_changed":false,"_links_to":"","_links_to_target":""},"class_list":["post-2550","disciplinary_actions","type-disciplinary_actions","status-publish","hentry"],"acf":[],"yoast_head":"\nFINRA Bars South Florida Broker Rezwan Alam | Silver Miller<\/title>\n<meta name=\"description\" content=\"Rezwan Alam was barred after failing to respond to FINRA\u2019s requests for information. 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