Investors apparently complained about securities broker Fidel Francisco Trejo-Erazo Jr. (also known as Fidel Francisco Trejo Erazo) [CRD: 1251352, Houston, Texas], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Trejo-Erazo worked for UBS Financial Services Inc. from December 16, 1998, to May 9, 2025, and later joined Morgan Stanley on May 21, 2025, where he remains registered. Investors are encouraged to continue reading to find out more about the disclosures involving Trejo-Erazo and the allegations raised by clients.
Evidently, a UBS Financial Services Inc. client filed FINRA Arbitration No. 23-02558 concerning Fidel Trejo-Erazo. Primarily, the client alleged that Trejo-Erazo made unsuitable recommendations and overconcentrated the client’s account while also making misrepresentations. For this reason, the client allegedly experienced damages related to Puerto Rico municipal bonds and Puerto Rico closed-end funds. Consequently, on August 22, 2024, UBS Financial Services Inc. settled this matter by paying the client $385,000 in damages.
Specifically, a client of UBS Financial Services Inc. contested Trejo-Erazo’s sales practices by filing FINRA Arbitration No. 19-02856. Allegedly, Trejo-Erazo made unsuitable recommendations and misrepresented the risks associated with concentrating investments. It appears that Trejo-Erazo caused the client to incur damages relating to Puerto Rico closed-end bond funds. Therefore, UBS Financial Services Inc. opted to settle the matter on June 5, 2023, by compensating the client in the amount of $60,000.
Are you concerned about investments you made through Fidel Trejo-Erazo? You can contact Soreide Law Group online or at (888) 760-6552 and speak with a securities attorney concerning a possible recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the US. Also, the firm represents investors on a contingency fee basis and advances all costs. Trejo-Erazo and the brokerage firms Trejo-Erazo worked for deny allegations of sales practice violations.
Investors apparently complained about securities broker Debra Dawn Mesle (also known as Debra Dawn Hanebrink and Debbie Mesle) [CRD: 849766, Chesterfield, Missouri], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mesle worked for Merrill Lynch from June 30, 2006, to January 2, 2026, and has worked for Huntleigh Securities Corporation and Huntleigh […]
Investors potentially experienced sales practice violations by securities broker Francis Stephen Zoracki, also known as Frank Zoracki [CRD: 1363103, Irwin, Pennsylvania], according to information disclosed through Financial Industry Regulatory Authority (FINRA) BrokerCheck. Zoracki has worked for Cambridge Investment Research Inc. since September 28, 2011; Cambridge Investment Research Advisors Inc. since September 28, 2011; and Duncan […]
Investors may have suffered financial harm by securities broker and investment adviser Loren James Grabau [CRD: 6984490, Santa Maria, California], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Grabau worked for Independent Financial Group LLC from April 8, 2019, to August 19, 2025. See below to discover more about Grabau’s disclosures. […]
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