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

Category Archives: Selling Away

FINRA Fines Florida Broker $5,000 And Suspends Him For 45 Days For Undisclosed Outside Business Activities

By Staff |

Athanasios Tomaras (CRD#: 2722538) is a securities broker and registered investment adviser. From November of 2012 through July of 2016, Mr. Tomaras was associated with Fulcrum Advisory Services, LLC in Oldsmar, Florida. Currently, he works as a representative of R. F. Lafferty & Co. Recently, FINRA suspended this broker for 45 days and fined… Read More »

FINRA Complaint: Florida Broker Engaged In Improper Outside Business Activities

By Staff |

Jorge Antonio Netto (CRD#: 2432661) is an actively registered FINRA broker. Since April of 2017, Mr. Netto has served as a representative for Boreal Capital Securities LLC in Miami, FL. Previously, he was associated with Northeast Securities Inc. in Coral Gables, FL (2014 to 2017). On August 13th, 2021, FINRA filed a complaint against… Read More »

Florida Broker Fined and Suspended for Selling Away From Member Firm

By Carlson & Associates, P.A. |

Jason Nicholas Dukas (CRD #4188239) is a registered broker and investment adviser in Florida. From August of 2011 to July of 2017, Mr. Dukas was employed by Wells Fargo Clearing Services. Since August of 2017, he has been a representative of Stifel, Nicholas & Company Incorporated. In May of this year, FINRA fined this… Read More »

Palm Beach County Broker Fined, Suspended for One Year for Selling Away

By Staff |

Alexander Jon James (CRD #5630825) is a previously registered broker with more than ten years of experience in the securities industry. From January of 2012 to May of 2017, Mr. James worked at Voya Financial Advisors in Palm Beach Gardens, Florida. Subsequently, he was associated with Allstate Financial Services in West Palm Beach. On… Read More »

Palm Beach County Broker Barred After Refusing to Cooperate With ‘Selling Away’ Investigation

By Staff |

Antonio Gutierrez Puente (CRD#: 2695224) is a former registered broker and investment adviser. From February 1999 to September 2018, Mr. Puente was a representative at Valic Financial Advisors, Inc. and based at a branch location in Miami. In the fall of 2018, this broker was discharged by Valic Financial following the firm’s internal investigation… Read More »

FINRA Complaint: Miami-Dade County Broker Improperly Engaged in Improper Outside Business Activities (OBAs)

By Carlson & Associates, P.A. |

Robert Henderson (CRD#: 1160413) is a previously registered securities broker. From December of 2010 to November of 2019, Mr. Henderson was a representative of IFS Securities, where he was based out of a branch office in Miami Lakes, Florida. Previously, this financial advisor was also associated with First American Capital and Trading Corp. and… Read More »

Florida Broker Barred After He Failed to Cooperate With an Investigation Into Private Securities Transactions

By Staff |

Bobby Wayne Coburn (CRD#: 1464789) is a previously licensed securities broker. From February of 2009 to April of 2019, this financial professional was a representative of Securities America, Inc.—working at a branch office in Fort Meade, Florida. Earlier this year, Mr. Coburn was discharged by Securities America for allegedly soliciting investment from several of… Read More »

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1 SE 3rd Ave #1200
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