SEC News
- SEC Charges Chicago-Area Father and Son Conducted Cherry-Picking Scheme at Investment Firm May 16, 2013FOR IMMEDIATE RELEASE2013-90 Washington, D.C., May 16, 2013 — The Securities and Exchange Commission today charged a father and son and their Chicago-area investment advisory firm with defrauding clients through a cherry-picking scheme that garnered them nearly $2 million in illicit profits, which they spent on luxury homes, vehicles, and vacations. Addition […]
- SEC Names Keith F. Higgins as Director of Division of Corporation Finance May 15, 2013FOR IMMEDIATE RELEASE2013-89 Washington, D.C., May 15, 2013 — The Securities and Exchange Commission today named Keith F. Higgins as the new director of the agency’s Division of Corporation Finance. Mr. Higgins comes to the SEC from the law firm of Ropes & Gray LLP where he is a partner in its Boston office with 30 years of experience advising public com […]
- SEC Names Lona Nallengara as Chief of Staff May 15, 2013FOR IMMEDIATE RELEASE2013-88 Washington, D.C., May 15, 2013 — The Securities and Exchange Commission today announced that Lona Nallengara has been named the agency’s chief of staff. Mr. Nallengara came to the SEC in March 2011 and served as deputy director for legal and regulatory policy in the Division of Corporation Finance until he was appointed in Decemb […]
- SEC Charges China-Based Executives in Scheme to Overstate Revenues and Divert Money for Personal Use May 15, 2013FOR IMMEDIATE RELEASE2013-87 Washington, D.C., May 15, 2013 — The Securities and Exchange Commission today charged husband-and-wife executives at a China-based company with engaging in a scheme to overstate the company’s revenues and divert proceeds from a securities offering for their personal use. Additional Materials SEC Complaint The SEC alleges that RIN […]
- SEC, FINRA Issue Investor Alert On Pension or Settlement Income Streams May 9, 2013FOR IMMEDIATE RELEASE2013-86 Washington, D.C., May 9, 2013 — The Securities and Exchange Commission and the Financial Industry Regulatory Authority (FINRA) today issued an investor alert entitled Pension or Settlement Income Streams – What You Need to Know Before Buying or Selling Them. The investor alert informs investors about the risks involved when selli […]
TAG | unaut
May/12
18
Rafael Calleja, Former Stock Broker, Investigated
Comments off · Posted by Securities Lawyer in FINRA
Soreide Law Group, PLLC, is currently investigating potential claims against Rafael Calleja, a former Morgan Stanley Smith Barney and Merrill Lynch stock broker.
Rafael Calleja was employed by Morgan Stanley Smith Barney from June, 2008, until November, 2011, and prior to that he was employed by Merrill Lynch. Mr. Calleja had an allegation of misappropriation of funds, according to his FINRA discipline record, filed against him that has resulted in financial settlements. Several other accusations of unauthorized trading and excessive trading have also been filed against Rafael Calleja which also resulted in financial settlements. If you were a former client of Rafael Calleja contact the Soreide Law Group at (888) 760-6552 or visit http://www.securitieslawyer.com.
excessive trading · Financial Industry Regulatory Authority · FINRA · FINRA arbitration · FINRA brokercheck · finra lawyer · Florida stock loss lawyer · fort lauderdale securities fraud lawyer · inadequate supervisory procedures by broker/dealers · Lars K. Soreide · Merrill Lynch · misappropriation of funds by broker · Morgan Stanley Smith Barney LLC · Rafael Calleja FINRA discipline · Rafael Calleja former broker · Stock fraud lawyer · stock loss · supervisory failures · unaut · unauthorized trades
