金融行业代表解决了证券欺诈的FINRA案件 - 投资者律师博客 - 2013年3月12日bob200体育

These financial representatives have settled the Financial Industry Regulatory turned in their Letter of Acceptance, Waiver, and Consent in thesecurities casesmade against them by the Financial Industry Regulatory Authority. By consenting to the sanctions described and the entry of findings, this does not mean they are denying or admitting to the allegations.

纽约注册校长被指控做出虚假陈述和任务
Neftali Mercedes must pay $97,000, in addition to interest as restitution to customers. He is accused of intentionally making material omissions and misrepresentations about the risks related to speculative securities and an issuer’s financial state.

Per the findings, Mercedes had no reason to make the statements and he made no effort to verify the information that he gave customers or discuss with them the investments’ negative financial performance and condition, which could have altered their purchase choices. FINRA contends that through his actions, which took place over a number of months, the New York registered principal was able to gain financially while investors lost money.

California Registered Principal Allegedly Took Part In Private Securities Transactions Outside His Employment Scope
James Michael O’Brien is now facing an 18-month suspension from associating with any FINRA member. However, because of his financial state, he doesn’t have to pay a financial sanction. The entry of findings accuses him of engaging in private securities transactions that were outside the scope of his employment and he failed to notify the member firm that he worked for of these transactions.

据称，奥布赖恩将投资者转交给了作为期票出售证券的实体。bob200体育这些投资总计超过260万美元。据说他的转介赚了125,416美元。

Colorado Registered Representative Settles FINRA Case Alleging Inappropriate Recommendations Made Related to REIT and Regulation D Offerings
根据FINRA的说法，迈克尔·李·罗梅罗（Michael Lee Romero）建议客户购买760,000美元的非公开交易的房地产投资信托基金和非公开交易的法规D产品，这些产品与这些投资者的财务需求和情况不符。现在，他必须支付10,000美元的罚款，并且不能在45天内与任何FINRA成员交往。

根据客户签署的新帐户申请，他们认为他们正在投资具有适度风险的工具，以实现其资本保存，收入和长期增长的目标。REIT和法规D产品几乎包括所有客户的液体净资产，约占其总净资产的46％。

加利福尼亚州注册代表下令将$ 5,000 $ 5,000的不义之财收取加上利息
Sean Placido Rodriguez is accused of executing discretion in a client account without that customer’s written consent or his member firm’s written acceptance that the account was discretionary. He allegedly did not have reasonable grounds for recommending that this woman take part in short-term trading or that she have her account concentrated in equity purchases. Yet, per the FINRA findings, Rodriguez proceeded to make the recommendation that the client buy and sell equity securities in amounts that caused undue concentrations of these securities (25-50% of her account’s value when the transactions happened) in her account.

现在，罗德里格斯（Rodriguez）必须分配不义之的收益，部分赔偿5,000美元，并向该客户提供利息。

If you believe you lost money in any of these (or any other) securities cases, contact ourbob200体育证券律师today.

FINRA纪律处分

Court Upholds Ex-NBA Star Horace Grant $1.46M FINRA Arbitration Award from Morgan Keegan & Co. Over Mortgage-Backed Bond Losses, Stockbroker Fraud Blog, October 30, 2012

金融公司与FINRA：ES金融服务解决非美国投资者指控和林肯金融证券的征集，同意进入指控监督不足的调查结果，机构投资者证券博客，2013年3月11日bob200体育