The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, February, 2013.”
Neftali Mercedes (CRD #3201827, Registered Principal, New York, New York)
was barred from association with any FINRA member in any capacity and ordered to pay a total of $97,500, plus interest, in restitution to customers.
FINRA's sanctions were based on findings that Mercedes willfully made material misrepresentations and omissions
in the sale of securities. The findings stated that Mercedes’ misleading statements and omissions concerned the risks associated with an investment in speculative securities and the financial condition of the issuer. Mercedes did not have any basis for making the statements to his customer and did not attempt to verify the information about the issuer that he conveyed to his customers.
Mercedes failed to disclose the issuer’s negative financial condition and performance, which were facts material to the purchasers’ investment decisions. Mercedes’ conduct, which occurred over several months, enabled
him to profit financially while his customers lost their investments and Mercedes did not make any attempt to pay restitution to the affected customers or otherwise remedy his misconduct.
(FINRA Case #2008011743303)
This ends FINRA's information from their website.
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