Damon Perez

The Financial Industry Regulatory Authority (FINRA) has permanently barred Damon Perez, a former General Securities Representative, for refusing to provide information and documents during a regulatory investigation, in violation of FINRA Rules 8210 and 2010.

Perez entered the securities industry in 2010 and most recently became registered with Empower Financial Services, Inc. in April 2023. In November 2024, his registration was terminated by Empower for violating an internal attendance policy. Although no longer associated with a FINRA-member firm, Perez remained under FINRA’s jurisdiction due to the timing of the investigation.

According to FINRA, the agency made multiple requests in early 2025 for documents and information from Perez as part of an investigation that stemmed from a regulatory tip. Perez acknowledged receipt of the requests but confirmed during a May 2025 phone call with FINRA that he would not comply. His refusal to cooperate violated FINRA Rule 8210, which grants FINRA the authority to require testimony and documents during investigations, as well as Rule 2010, which mandates high standards of commercial honor.

As a result of his refusal to cooperate, FINRA issued a bar preventing Perez from associating with any FINRA member in any capacity going forward.

If you had an investment relationship with Damon Perez and suspect misconduct or mismanagement of your funds, contact the attorneys at ChapmanAlbin. We represent investors nationwide in disputes involving broker misconduct and regulatory violations.

Call (877) 410-8172 or visit www.chapmanalbin.com to schedule a free consultation.