{"id":1211,"date":"2013-03-12T19:44:51","date_gmt":"2013-03-12T19:44:51","guid":{"rendered":"https:\/\/www.stockbrokerfraudblog.com\/2013\/03\/financial_representatives_sett_1"},"modified":"2022-03-10T16:36:06","modified_gmt":"2022-03-10T22:36:06","slug":"financial-representatives-sett-1","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/financial-representatives-sett-1\/","title":{"rendered":"Financial Industry Representatives Settle FINRA Cases Over Securities Fraud"},"content":{"rendered":"

\t\t\t\tThese financial representatives have settled the Financial Industry Regulatory turned in their Letter of Acceptance, Waiver, and Consent in the securities cases <\/a>made against them by the Financial Industry Regulatory Authority. By consenting to the sanctions described and the entry of findings, this does not mean they are denying or admitting to the allegations. <\/p>\n

New York Registered Principal Accused of Making Misrepresentations and Missions <\/strong><\/p>\n

Neftali Mercedes must pay $97,000, in addition to interest as restitution to customers. He is accused of intentionally making material omissions and misrepresentations about the risks related to speculative securities and an issuer’s financial state. <\/p>\n

Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

These financial representatives have settled the Financial Industry Regulatory turned in their Letter of Acceptance, Waiver, and Consent in the securities cases made against them by the Financial Industry Regulatory Authority. By consenting to the sanctions described and the entry of findings, this does not mean they are denying or admitting to the allegations. New […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3739,3741,3803],"tags":[],"class_list":["post-1211","post","type-post","status-publish","format-standard","hentry","category-finra","category-securities-fraud","category-senior-investors"],"yoast_head":"\nFinancial Industry Representatives Settle FINRA Cases Over Securities Fraud — Investor Lawyers Blog — March 12, 2013<\/title>\n<meta name=\"description\" content=\"These financial representatives have settled the Financial Industry Regulatory turned in their Letter of Acceptance, Waiver, and Consent in the securities — March 12, 2013\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" 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