In June 2024, a customer claim naming Amir Navab (CRD 2437020) settled at Great Gable Wealth Management for $180,000. His BrokerCheck report also shows settled disputes at UBS Financial Services, starting in 2004.
Soriede Law Group, based in South Florida, obtained the following information on FINRA’s Disciplinary Report from June 2017 regarding Miami broker:
Enrique Mercado Jr. (CRD #2242873, Miami, Florida)
Marcado was assessed a deferred fine of $15,000 and suspended by FINRA for 12 months following allegations that he submitted a false and backdated FINRA Rule 3130 certification to FINRA in response to a FINRA Rule 8210 request.
FINRA’s findings stated that allegedly the certification falsely stated that Mercado’s former member firm had processes in place to review and test its supervisory procedures on a periodic basis, and that these processes were evidenced in a written report.
According to the FINRA report, the certification was also allegedly backdated to make it appear that it had been executed by the deadline required by FINRA Rule 3130. Mercado did not sign the certification submitted, but he allegedly knew that the certification that he provided to FINRA contained false statements and was backdated.
Mercado acknowledged that the certification contained false statements during his on-the-record testimony with FINRA.
The suspension is in effect from May 1, 2017, through April 30, 2018.
(FINRA Case #2012033767402)
According to FINRA’s BrokerCheck, Enrique Mercado Jr. has been in the securities industry for 9 years and has been listed with 6 firms, the most recent listed below:
2/19/2015 - 10/02/2015 EFG CAPITAL INTERNATIONAL - MIAMI, FL
07/08/2013 - 01/29/2015 RBC CAPITAL MARKETS, LLC - MIAMI, FL
01/29/2010 - 04/01/2013 TRADEWIRE SECURITIES LLC - CORAL GABLES, FL
02/12/2009 - 07/29/2009 INTERNATIONAL CAPITAL MARKETS, INC. - MIAMI, FL
If you were a client of Enrique Mercado Jr. and experienced losses due to his recommendations or actions, call the conveniently located South Florida law firm, Soreide Law Group and speak to a securities lawyer regarding the possible recovery of your investment losses at: 888-760-6552.
Soreide Law Group represents clients nationwide before FINRA on a contingency fee basis. Let our years of experience work for you.
In June 2024, a customer claim naming Amir Navab (CRD 2437020) settled at Great Gable Wealth Management for $180,000. His BrokerCheck report also shows settled disputes at UBS Financial Services, starting in 2004.
Centaurus Financial appears as the firm on a pending customer arbitration against Brett Ewing (CRD 2904608). The customer filed it on September 14, 2026. According to BrokerCheck, the customer alleges that Ewing recommended unsuitable, illiquid investments from February 2016 through February 2019. Ewing denies the allegations, and no arbitrator has ruled.
FINRA found that Eric Kleiner (CRD 4135180) refused to provide documents and information it requested during an investigation. Without admitting or denying the findings, Kleiner consented to the sanction and to the entry of findings.
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Fax: 1-954-760-6553
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