This summation of information was found on FINRA’s website under “Disciplinary and Other FINRA Actions, May, 2014.” Soreide Law Group (888) 760-6552.
Bernardita Cortez Roque (CRD #3116405, Virginia Beach, Virginia)
was barred by FINRA for allegedly referring clients to a private investment company that offered private placement investments. This was done allegedly without her firm’s knowledge or permission.
FINRA's findings stated that Roque allegedly took part in the purchase of notes in private securities for customers which amounted to $50,000. Roque's firm policies and procedures do not allow their representatives to solicit their clients in private securities transaction which are not directly associated with their firm.
According to FINRA's report, Roque failed to provide FINRA with the documents and information they requested. Roque told FINRA she would not participate in FINRA’s investigation.
(FINRA Case #2013037558201)
Bernardita Cortez Roque was previously registered with the following FINRA firm(s):
TRANSAMERICA FINANCIAL ADVISORS, INC (CRD# 16164) - ST. PETERSBURG, FL
01/2012 - 07/2013
WORLD GROUP SECURITIES, INC. (CRD# 114473) - DULUTH, GA
04/2002 - 01/2012
WMA SECURITIES, INC. (CRD# 32625) - DULUTH, GA
09/1998 - 04/2002
The information from FINRA ends here.
If you have sustained substantial financial losses due to your broker or financial advisor's recommendations, call a Securities Arbitration Lawyer for a free consultation at 888-760-6552. Soreide Law Group represents clients nationwide before FINRA.
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