What Did Your Brokerage Firm or Investment Adviser Do Wrong With GWG
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.

Disclaimer

The posting on this site are mere OPINIONS and NOT statements of fact in any way whatsoever. The information should not be relied upon and there have been no findings made against the firms or individuals referenced on this site. In addition, this Blog is made available for educational purposes only and incorporates information from the web as well as to give you general information and a general understanding of the law, not to provide specific legal advice. By using this blog site you understand that there is no attorney client relationship between you and Stoltmann Law Offices (161 N Clark Street 16th Floor Chicago, IL 60601). The Blog opinions should not be used as a substitute for competent legal advice from a licensed professional attorney in your state.

PLEASE NOTE THIS IS ADVERTISING AND IT IS NOT A NEWSPAPER ARTICLE OR POST FROM AN INDEPENDENT OR NON-BIASED, NEWS SITE, NEWS SOURCE OR NEWSPAPER.

Chicago Investment Fraud Attorneys Offering Nationwide Representation to Investors

If you have suffered financial losses because of the negligence or fraud of your financial advisor or broker through unsuitable investment recommendations, over-concentration, churning, misrepresenting risks, conversion or selling away, you have legal rights and options to pursue recovery of those losses.

Stoltmann Law Securities Investment Fraud Attorneys