Tag Archives: Miami FINRA Arbitration Lawyer
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 »
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 »
