The Florida-based Soreide Law Group obtained the following information on FINRA’s website under, “Disciplinary and Other FINRA Actions, August 2016.”
Armando Fernandez (CRD #3079602, Miami Shores, Florida)
was fined $7,500 and suspended from association with any FINRA member in any capacity for 20 business days. According to FINRA’s findings, allegedly Fernandez exercised discretion in a client’s account and executed related trades without the client’s written authorization and without obtaining his member firm’s prior written acceptance of the account as discretionary.
FINRA’s findings stated that Fernandez mismarked order tickets as unsolicited when, in fact, the trades were solicited, causing the firm to maintain inaccurate books and records.
Armando Fernandez’ suspension is in effect from August 1, 2016, through August 26, 2016.
(FINRA Case #2012034556901)
Armando Fernandez has been registered in the securities industry for 18 years and is currently registered since 06/2009 with:
MORGAN STANLEY
1691 MICHIGAN AVE, STE 550,
MIAMI BEACH, FL 33139
Some of the firms Fernandez was previously registered with:
4/2009 - 06/2009 MORGAN STANLEY & CO. INCORPORATED - MIAMI, FL
07/2004 - 04/2009 MORGAN KEEGAN & COMPANY, INC. - NORTH MIAMI BEACH, FL
09/1998 - 08/2004 PFIC SECURITIES CORPORATION - FRANKLIN, TN
If you were a client of Miami's Morgan Stanley's, Armando Fernandez, and suffered financial losses due to his recommendations, call the Pompano Beach, Florida-based Soreide Law Group for a free consultation with an attorney regarding the possibility of recovering your losses at: 888-760-6552.
Soreide Law Group represents clients nationwide on contingency and advances all costs. We are committed to recovering our clients’ losses due to the negligence or fraud of their brokerages, stock brokers or financial advisors.
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