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Miami Investment Fraud Attorney
305.372.9700
1 SE 3rd Ave # 1200
SunTrust International Center
Miami, Florida 33131

Category Archives: FINRA

FINRA Complaint: Tampa Broker Submitted False Reimbursement; Misled Investigators

By Carlson & Associates, P.A. |

Nancy Kimball Mellon (CRD#: 1253484) is a former registered broker and registered investment advisor. From 2012 to 2016, Ms. Mellon was associated with Wells Fargo Clearing Services, LLC based at a branch office in Tampa, Florida. Previously, she was also a representative for Morgan Stanley (2009 to 2012) and for Citigroup (2004 to 2009)…. Read More »

South Florida Broker Barred By FINRA; Accused of Falsifying Documents

By Staff |

Wilfred Rodriguez Jr. (CRD#: 2504369) served as a registered representative of Wells Fargo Clearing Services from July of 2003 to August of 2018. During his time at the firm, Mr. Rodriguez Jr. was based out of a branch office in Boca Raton, Florida. On August 1st, 2018, Wells Fargo filed a Uniform Termination Notice,… Read More »

Miami-Dade County Advisor Barred for Refusal to Cooperate With FINRA Investigation into Undisclosed Private Placements

By Staff |

Alex Gerardo Herrera (CRD#: 3204779) is a former broker and investment advisor. Most recently, Mr. Herrera was employed at UBS Financial Services in Coral Gables, Florida. On August 8th, 2018, FINRA barred Mr. Herrera from the securities industry. FINRA took this disciplinary action after this broker refused to cooperate with a regulatory investigation into… Read More »

FINRA Arbitration Panel Awards Florida Investor $90,000 in Inadequate Supervision Claim

By Staff |

Recently, a FINRA arbitration panel in Orlando, Florida ruled in favor of a Florida investor in a negligence claim. The respondents in the case were Vanguard Capital (CRD#: 22081) and its broker Aaron Christopher Ray (CRD#: 4613258). Mr. Ray served at the firm from 2004 to 2016 and was based at a branch office… Read More »

Former Raymond James Broker Suspended For Failure to Respond to FINRA Request for Information

By Staff |

Stephen Allen Murray (CRD#: 343722) was previously registered with the Financial Industry Regulatory Authority (FINRA) as a securities broker and investment advisor. From February of 2013 to February of 2018, this broker was employed at Raymond James & Associates, Inc. (CRD#: 705) at branch location in Palm Beach Gardens, Florida. Failure to Cooperate With… Read More »

Palm Beach County Broker Barred for Failure to Cooperate With a FINRA Investigation

By Staff |

According to information released by the Financial Industry Regulatory Authority (FINRA), Lisa J. Lowi (CRD #1347790) has been permanently barred from the securities industry. In late 2017, FINRA requested on-the-record testimony from Ms. Lowi as part of an investigation it was conducting into claims that she had recommended unsuitable investments to customers. Investigators report… Read More »

Legal2

Palm Beach Gardens Brokerage Firm Ordered to Pay $2.3 Million in Restitution

By Staff |

Legend Equities Corporation (CRD#: 30999), a brokerage firm headquartered in Palm Beach Gardens, Florida, has accepted and consented to sanctions that include public censure and financial restitution that is currently estimated at $2,300,188. Without admitting or denying any wrongdoing, the firm agreed to these penalties to settle FINRA Case #2016050259801. This claim stemmed from… Read More »

Broker

Florida Investment Firm Censured and Fined $75,000 by FINRA

By Staff |

Have you ever invested your hard earned money with Dawson James Securities, Inc. (CRD#: 130645), a brokerage firm based out of Boca Raton, Florida? If so, you need to be aware of the recent disciplinary action that has been taken against the company. Earlier this year, the FINRA Department of Enforcement announced fines against… Read More »

New NFLPA Registered Financial Advisor Is The Subject of a FINRA Disciplinary Proceeding

By Chase Carlson |

On April 1, 2016, the Financial Industry Regulatory Authority (“FINRA”) Department of Enforcement filed a Complaint against James Goetz, a NFLPA Registered Financial Advisor.  The Complaint alleged that while employed by Merrill Lynch, Goetz invested in at least five private companies without making required disclosures or receiving authorization from Merrill Lynch.  FINRA also alleges… Read More »

InvestFraud

FINRA Takes Disciplinary Action Against New Jersey Financial Adviser

By Staff |

The Financial Industry Regulatory Authority (FINRA) recently suspended Alex Etter for two years for misconduct he committed while he was a registered financial adviser. According to investigators, Etter put his personal financial interests and the interests of his firm ahead of that of his clients. In doing so, his brokerage company netted more than… Read More »

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