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.
Fort Lauderdale-based Soreide Law Group has represented clients nationwide. If you have sustained a loss through financial fraud, call a Securities Arbitration Lawyer for a free consultation on how to potentially recover your losses. To speak with an attorney, call 888-760-6552.
Soreide Law Group is investigating potential investor claims involving Blue Owl Capital Corporation (NYSE: OBDC), including whether brokers and financial advisors properly explained the risks surrounding this publicly traded business development company and its related private credit platform. OBDC invests primarily in loans to middle-market companies and is often marketed as an income-generating investment. However, […]
Investors potentially experienced sales practice violations by securities broker Mark Perry Kissinger [CRD: 4546631, Frisco, Texas], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kissinger worked for NYLIFE Securities LLC since November 27, 2018, and Eagle Strategies LLC since March 15, 2023. Read on for a better understanding about the disclosures involving this […]
Investors have reportedly disputed the sales practices of securities broker Robert Steven Wilkinson [CRD: 1180321, Oakland, California], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Wilkinson worked for Western International Securities Inc. from November 26, 2013, to June 5, 2025, and later registered with LPL Financial LLC beginning June 5, […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com