Tag Archives: Miami FINRA Arbitration Lawyers
Florida FINRA Arbitration Panels Awards Investor More Than $150,000 Compensation in Real Estate Investment Trust (REIT) Case
On December 11th, 2018, a FINRA Arbitration panel in Boca Raton, Florida issued a decision in favor of a claimant in a dispute filed regarding investment losses sustained in real estate investment trusts (REITs). The claim was filed against Crystal Bay Securities, Inc. (CRD#: 142339), a brokerage firm based in Delray Beach and that… Read More »
Miami Broker Fined, Suspended for ‘Quantitatively’ Unsuitable Trades
Akhil Morada (CRD #4859707) is a previously registered FINRA broker. From July 2016 to December 2016, Mr. Morada was employed at Primex based in Miami, Florida. Prior to that, this broker was associated with Newbridge Securities Corporation in Boca Raton (2015 to 2016) and E.J. Sterling in Miami (2014 to 2015). Recently, former securities… Read More »
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 »
FINRA Arbitration Panel Awards Florida Investor $90,000 in Inadequate Supervision Claim
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 »
FINRA Arbitration Panel Awards $1.88 Million to Investors in Puerto Rico Bond Case
On March 28th, 2018, a FINRA arbitration panel based in San Juan, Puerto Rico found UBS Financial Services and UBS Financial Services of Puerto Rico legally liable for $1.88 million in losses sustained by two investors and one retirement fund. The investment products at issue in this case were Puerto Rico closed-end and Puerto… Read More »
