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Miami Investment Fraud Attorney
1 SE 3rd Ave # 1200
SunTrust International Center
Miami, Florida 33131

Category Archives: Financial Advisor Negligence

SEC Obtains Asset Freeze Against Miami-Based Investment Adviser

By Staff |

On June 17th, 2021, the Securities and Exchange Commission (SEC) announced that it obtained an asset freeze and filed fraud charges against a Miami-based investment advisor. Charges were filed against: Ramiro Jose Sugrane (CRD#: 1660839); UCB Financial Advisers Inc.; and UCB Financial Services Limited. The federal securities regulator alleges that Mr. Sugrane engaged in… Read More »

Southeast Florida Broker Barred For Declining To Cooperate With Investigation Into Alleged Outside Business Activities

By Staff |

Nedjeen Baptiste (CRD#: 6308317) is a previously registered securities broker. From May of 2015 through July of 2020, Ms. Baptiste was a representative of J.P. Morgan Securities LLC in Lantana, Florida. In March, the Financial Industry Regulatory Authority (FINRA) barred financial advisor Nedjeen Baptiste for failing to produce documents and information requested as part… Read More »

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1 SE 3rd Ave #1200
Suntrust International Center
Miami, Florida 33131

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