Soreide Law Group, based in Florida, obtained the following information from FINRA’s February 2017 Disciplinary Report:
(FINRA has issued the following complaint. Issuance of a disciplinary complaint represents FINRA’s initiation of a formal proceeding in which findings as to the allegations in the complaint have not been made, and does not represent a decision as to any of the allegations contained in the complaint. Because these complaints are unadjudicated, you may wish to contact the respondents before drawing any conclusions regarding the allegations in the complaint.)
Eddie Basora Jr (CRD #4388378, Orlando, Florida)
has been named a respondent in a FINRA complaint alleging that he willfully failed to timely amend his Form U4 to disclose a felony charge and nolo contendere plea, despite having notice of both at the time they occurred.
The complaint alleges that Basora failed to appear for FINRA-requested on-the-record testimony without having been excused by FINRA, and to date has not contacted FINRA staff to reschedule the testimony.
Eddie Basora Jr’s failure to appear and testify impeded FINRA’s investigation and prevented FINRA from completing its regulatory responsibility to fully investigate potential rule violations, including those for failing to timely update Form U4 to disclose a federal tax lien and bankruptcies.
(FINRA Case #2014040809501)
According to FINRA’s BrokerCheck, Eddie Basora Jr has been registered in the securities industry for 12 years and was listed with 5 firms, the following being the most recent:
04/02/2008 - 12/31/2014 MERRIMAC CORPORATE SECURITIES, INC. – (FINRA expelled the firm on 03/21/2016) - ALTAMONTE SPRINGS, FL
If you were a client of Eddie Basora Jr, formerly with MERRIMAC CORPORATE SECURITIES, INC of Altamonte Springs, Florida, and you experienced losses due to his actions or recommendations, call Florida-based Soreide Law Group for a no-cost consultation regarding the possible recovery of your investment losses at: 888-760-6552.
Soreide Law Group represents clients nationwide before FINRA and we operate on a contingency fee basis.
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