A National Securities Arbitration & Investment Fraud Law Firm
German Nino (CRD#: 2653707, aka, “German Nio”), is a former broker and investment advisor last employed with UBS of Coral Gables, FL. His earlier employers include HSBC Securities (USA) Inc. (CRD#:19585), also of Coral Gables, Atlas One Financial Group, LLC (CRD#:124057) of Miami, and A. G. Edwards & Sons, Inc.…
According to FINRA Disciplinary actions for January 2022, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Arely Alvarez…
According to FINRA Disciplinary actions for January 2022, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules. However, these individuals remain bound by…
According to FINRA Disciplinary actions for January 2022, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Michael Gardner Cantor Fitzgerald & Co J.P. Morgan Securities LLC Ganesh Iyer…
When a registered FINRA broker dealer employs financial representatives, they have an obligation to supervise their brokers and employees so that they are compliant with both the firm’s rules and with FINRA’s. Broker dealers are required to maintain adequate oversight to ensure that the people who work for them are…
According to FINRA Disciplinary actions for December 2021, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules. However, these individuals remain bound by…
According to FINRA Disciplinary actions for December 2021, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Omer Ali-Taha BB&T Investment Services, Inc. Citigroup Global Markets Inc. Berkley Badger…
Did you participate in an initial public offering (IPO) sold by Aegis Capital Corp.? According to its website, Aegis has been bookrunner, placement agent, or co-manager for dozens of public offerings in recent years. IPOs, Pre-IPO Offerings, And SPACs Stock IPOs, pre-IPO offerings, and SPACs are often touted by stockbrokers…
Brokers and financial advisors are under a fiduciary duty to put the client first—a relationship that gets muddied whether the loan is in writing or not. The Financial Industry Regulatory Authority (FINRA) has a rule in place prohibiting a broker from borrowing or lending money to customers in most instances.…
Jerry Rice (CRD#: 375290) is a previously registered broker/advisor whose last known employer was Raymond James Financial Services (CRD#: 6694) of Tinton Falls, New Jersey. His previous employers include Robert Thomas Securities (CRD#: 10147) of St. Petersburg, FL, Smith Barney (CRD#: 7059) of New York City and Lehman Brothers (CRD#:…