South Florida Broker Rezwan Alam Barred From the Securities Industry

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

According to FINRA records, Alam—who worked in Palm Beach, Delray Beach, and Boca Raton, Florida—had a 14-year career as a broker and investment advisor, during which he was affiliated with eight different firms. Most recently, he was employed by PNC Investments in Delray Beach.

Failure to Respond Leads to Permanent Bar

On March 10, 2025, FINRA issued Alam a Notice of Suspension 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 automatic and permanent bar from associating with any FINRA member firm in any capacity.

Why FINRA Cooperation Matters

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

Silver Miller Protects Investors Against Broker Misconduct

Investors who worked with Rezwan Alam or PNC Investments and experienced financial losses may have legal options for recovery.

Silver Miller represents investors nationwide in cases involving broker fraud, negligence, and investment mismanagement. Our attorneys pursue justice through FINRA arbitration and civil litigation to help victims recover what they’ve lost.

Contact Silver Miller to discuss your potential claim in a free, confidential consultation. We work on a contingency fee basis, meaning you don’t pay unless we recover for you.