Tag Archives: Florida Broker Fraud
South Florida Broker Barred By FINRA; Accused of Falsifying Documents
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 »
South Florida Broker Barred for Failure to Cooperate With Investigation Regarding Unsuitable Investments
Recently, the Financial Industry Regulatory Authority (FINRA) indefinitely barred investment advisor Matthew Singer (CRD #4972708) from the securities industry. Mr. Singer was last employed at Morgan Stanley, working out of an office in Aventura, Florida. This representative has also previously been associated with FBN Securities and Ascendiant Capital Markets. According to investigators, Mr. Singer… Read More »
Palm Beach County Broker Barred From Securities Industry for Material Misrepresentations
On May 17th, 2018, the National Adjudicatory Council (NAC) affirmed FINRA’s findings and sanctions in the case of Michael Todd Clements (CRD#: 170207), permanently barring the broker from the securities industry and ordering him to pay full financial restitution to affected investors. The alleged misconduct in this case relates to the period when Mr…. Read More »
Florida Broker Fined, Suspended for Unreported Private Securities Transactions
Recently, the Financial Industry Regulatory Authority (FINRA) announced that it was issuing a $10,000 fine and a three-month suspension against registered securities broker Gabriel William Hynes (CRD #3152541). Mr. Hynes was most recently employed at NYLIFE Securities LLC, and he worked out of a branch that was located in St. Augustine, Florida. According to… Read More »
