Published On: October 26, 2016

According to a recent Disciplinary Proceeding with the Financial Industry Regulatory Authority (FINRA’s) Department of Enforcement, Fernando de la Lama Merino was accused of potential misconduct involving the sales of illiquid structured notes and bonds referred by a foreign individual while he was associated with EFG Capital International. This is against securities rules and regulations. Merino also failed to provide information by a requested date, which is also against securities laws. According to his online FINRA BrokerCheck report, Merino was registered with Coutts Securities Inc. in Miami, Florida from May 2001 until July 2002, Prudential Securities Inc. in New York, New York from July 2002 until June 2003 and EFG Capital International in Miami from July 2003 until June 2016. He is not currently registered with any firm and is not licensed. Please call our securities law offices today to speak to an attorney about your options of recovering financial losses you may have suffered. We may be able to help you bring a claim against EFG Capital in the FINRA arbitration forum on a contingency fee basis.

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