Soreide Law Group, based in South Florida, is currently investigating claims regarding Miami-based, EVA MARINA OVEJERO, who is currently registered both as a broker and an investment advisor with RAYMOND JAMES & ASSOCIATES, INC at 600 Brickell Avenue in Miami, Florida. Ovejero has been registered with Raymond James since June of 2023. Before Raymond James, EVA MARINA OVEJERO was with Morgan Stanley of Miami, Florida.
According to FINRA’s BrokerCheck, available to the public on FINRA’s website, a “Customer Dispute” was filed against EVA MARINA OVEJERO on September 23, 2024. This dispute is currently pending. The allegations are, “Client's attorney alleges, inter alia, that by way of negligence, misrepresentation, and a breach of fiduciary duty, the client was induced to invest with a third-party in investments managed and held away from Morgan Stanley.” The damage amount requested is $3,275,000.00. Ovejero denies the claims. According to FINRA’s BrokerCheck, EVA MARINA OVEJERO has been registered in the securities industry for 20 years.
According to FINRA’s website under, “Prohibited Conduct,” misrepresenting or failing to disclose material facts concerning an investment that may be considered material and that should be accurately presented to customers include: the risks of investing in a particular security; the charges or fees involved; company financial information; and technical or analytical information, such as bond ratings.
FINRA Rules 3270 (Outside Business Activities of Registered Persons) and 3280 (Private Securities Transactions of an Associated Person) require registered representatives to notify their firms in writing of proposed outside business activities (OBAs). FINRA goes on to state that all associated persons must notify their firms in writing of proposed private securities transactions (PSTs), so firms can determine whether to limit or allow those activities. FINRA states that a firm approving a PST where the associated person has or may receive selling compensation must record and supervise the transaction as if it were executed on behalf of the firm.
To discuss this article, or other securities related issues contact Soreide Law Group and speak to an experienced securities lawyer at: 888-760-6552.
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