It is not uncommon for foreign investors to seek to establish an investing relationship with a United States based broker-dealer (either because the client is seeking the security of investing in U.S. investments, or because these firms provide the client with the ability to discreetly invest their assets outside of their home country). Whether the [...]
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida. The White Law Group has its offices in Chicago, Illinois and Boca Raton, Florida because of the obvious benefits of being located so close to the FINRA [...]
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida. The White Law Group has its offices in Chicago, Illinois and Boca Raton, Florida because of the obvious benefits of being located so close to the FINRA [...]
FINRA recently announced that Thailia Alisa Tucker, a former financial advisor for Wachovia Securities, LLC in Miami , Florida , has been barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Tucker consented to the described sanction and to the entry of findings that she misappropriated approximately $847,188.87 [...]
FINRA recently announced that Lorraine Leonie Macko (formerly of RBC Capital Markets Corporation in Miami , Florida ) has been fined $6,000 and suspended from association with any FINRA member firm in any capacity for a period of one year. The sanctions were based on findings that Lorraine Macko misused her member firm’s funds by [...]
FINRA recently announced that Maria Duarte Pumariega, a financial advisor formerly registered with Wachovia Securities in Miami, Florida, has been barred from association with any FINRA brokerage firm in any capacity. The sanction was based on findings that Pumariega, without permission or authority, converted approximately $140,000 in customer funds for her own purposes. In addition [...]
FINRA recently announced that CP Capital Securities, Inc., a registered broker-dealer based in Miami, Florida, has been fined $21,500 for various securities violations. Without admitting or denying the findings, CP Capital Securities, Inc. consented to the entry of findings that it acted as the placement agent for a contingency offering of securities; failed to satisfy [...]
FINRA recently announced that Roberto Etiel Rodriguez, formerly of Leumi Investment Services Inc. in Miami Beach, Florida, has been barred from the securities industry in any capacity. Without admitting or denying the findings, Roberto Rodriguez consented to findings that, acting in concert with an unregistered individual, he executed an unauthorized transfer of $133,956 from an [...]
Jorge Gerardo Pereira, formerly of Synergy Investment Group, LLC in Miami, Florida, suspended from FINRA and fined $5,000. Without admitting or denying the findings, Pereira consented to the entry of findings that, without customers’ authorization, he falsified their signatures and affixed them onto delivery assurance forms for financial plans, a change of beneficiary form, a [...]
According to a recent FINRA announcement, James Stephen Eckes, of Parrish, Florida, barred from FINRA and ordered to pay $1,611 in restitution to a customer. The sanctions were based on findings that Eckes effected unauthorized transactions in a customer’s account, and communicated with a customer using a personal email account without obtaining permission from his [...]