Articles Tagged with Coral Gables

Stoltmann Law Offices is interested in speaking to those investors who may have suffered losses with David Garcia Cirilo, a registered representative with Morgan Stanley in Coral Gables, Florida since 2014. If you or someone you know would like to bring a claim against Morgan Stanley in the Financial Industry Regulatory Authority (FINRA) arbitration forum, we may be able to help you do so on a contingency fee basis. The call to us is free so please call today. 312-332-4200. Attorneys are standing by.

Cirilo was alleged to have made unsuitable investment recommendations, and over-concentrated accounts. He was accused of acting negligently, breaching fiduciary duty, breaching contract, committing fraud, and failed to supervise, among other things. These are all against securities rules and regulations, and brokerage firms may be responsible for these transgressions because the firm has a duty to reasonably supervise its brokers.

Cirilo was registered with UBS Financial Services in San Juan, Puerto Rico from December 1993 until September 2006, UBS Services Inc. in San Juan from September 1994 until September 2006 and Santander Securities in San Juan from September 2006 until April 2014. He is currently registered with Morgan Stanley in Coral Gables, Florida and has been since April 2014. He has seven customer disputes against him, five of which are currently pending.

James Parker Scullin recently entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA). Scullin is accused of placing an unauthorized trade in a customer’s account. This is against securities rules and regulations. At the time, Scullin was registered with UBS. On September 12, 2014, he placed a trade in the amount of over $5,000,000 without informing the two individuals with authority to place trades in the account or seeking their authorization. When asked about the trade, Scullin then denied it. For this, he was suspended from the industry for nine months and fined $15,000. If you suffered losses with James Parker Scullin, you may be able to recover them by suing UBS in the FINRA arbitration process. We sue firms such as UBS on a contingency fee basis for investors.

Scullin was registered with Moseley Securities Corp from October 1986 until March 1998, and UBS in Coral Gables, Florida from June 2011 until November 2014. He is not currently registered with any firm. He has one pending customer dispute against him.

The Financial Industry Regulatory Authority (FINRA) banned Lighthouse Point, Florida resident, Edmond Harris from the securities industry. He was accused of improperly using discretionary trading authority in customer accounts when he was associated with Miami-based Ladenburg Thalman & Co.

Aldo Comuzzi, a Boca Raton, Florida resident, was also banned from the industry by FINRA after allegedly engaging in excessive trading and using improper discretion without written approval in trading when he was registered with Dawson James Securities.

Alejandro Marin Aigster agreed to a ban from the securities industry after an investigation into whether he had an involvement in an unapproved loan when he was registered with Mercantil Commercebank Investment Services in Coral Gables, Florida.

Stoltmann Law Offices is investigating David Garcia Cirilo, a Morgan Stanley adviser in Coral Gables, Florida. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, Cirilo allegedly misrepresented material facts, recommended an unsuitable investment, breached fiduciary duty, made unauthorized transactions, failed to supervise his representatives and over-concentrated a customer account, among other things. These are all against securities rules and regulations. Cirilo was registered with UBS Financial Services in San Juan, Puerto Rico from December 1993 until September 2006 and Santander Securities in San Juan from September 2006 until April 2014. He is currently registered with Morgan Stanley in Coral Gables, Florida and has been since April 2014. He has six customer disputes against him, five of which are currently pending.

If you or someone you know invested money with David Garcia Cirilo, please call our securities law firm at 312-332-4200 to speak to an attorney about bringing a claim against Morgan Stanley. They may be able to be sued in the FINRA arbitration forum for losses because they have a duty to reasonably supervise David Garcia Cirilo. The call is free with no obligation. We take cases on a contingency fee basis only so we only make money if you recover it.

The Financial Industry Regulatory Authority (FINRA) barred Alejandro Federico Marin Aigster from the industry for alleged misconduct involving an unauthorized loan with a bank customer. He also failed to inform his employer, Mercantil Commercebank, of an unsatisfied lien against him. The regulatory authority also barred Heidi Diana Carter, of J.P. Morgan Chase Bank in San Diego, for allegedly stealing money from a retail bank customer. Aigster was registered with Mercantil Commercebank Investment Services in Coral Gables, Florida, from August 2012 until December 2014. He is not licensed within the industry. Both Aigster and Carter were permanently barred from the industry. If you invested money with either former broker, please call our securities law firm in Chicago, Illinois at 312-332-4200 to speak with an attorney. Their former firms may be held liable for investment losses because of their inability to reasonably supervise them.

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