The following information was obtained on FINRA's Website under “Disciplinary and Other FINRA Actions, March, 2014.”
Andres Enrique Rojas (CRD #4799671, Registered Representative, Miami, Florida)
has been barred by FINRA for allegedly participating in impersonating a customer and obtaining online access to the customer’s account. Andres Rojas also made a false statement to his firm regarding the scheme.
FINRA's findings said that the impersonation scheme was so the customer would not discover the substantial loss in a personal holding company's account. This was caused by another broker, but Rojas was allegedly aware of the purpose of the impersonation.
According to FINRA's findings, this customer did not give authorization to Andres Rojas or the other broker for the impersonation or to access to his online accounts.
Rojas failed to appear for a FINRA interview.
(FINRA Case #2011027886901)
Andres Enrique Rojas was previously registered with the following FINRA firm(s) according to FINRA's BrokerCheck:
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD# 7691) - MIAMI, FL
09/2006 - 05/2011
STATETRUST INVESTMENTS INC. (CRD# 104651) - MIAMI, FL
06/2006 - 09/2006
MORGAN STANLEY DW INC. (CRD# 7556) - PURCHASE, NY
07/2004 - 06/2005
This ends FINRA's information.
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