MICHAEL V. BORJA (CRD# 5451360) has been barred from working in the financial industry in the State of Florida for seven years after he was cited by regulators for alleged 'violations of trust.'
In an August 8th. order, the Florida Office of Financial Regulation said that Michael Vincent Borja, a former wealth advisor with Wells Fargo Advisors, was terminated by Wells Fargo in Miami in May of 2013. Borja was allegedly accused by Wells Fargo of falsifying the records of a wire transfer. This violated Wells Fargo's company procedures.
According to the Office of Financial Regulation, Michael Borja admitted to entering information into Wells Fargo Advisors’ systems that was incorrect and Borja agreed to cease and desist from such conduct and not to reapply for a license for at least seven years.
MICHAEL V. BORJA (CRD# 5451360) was previously registered with the following securities firm(s):
WELLS FARGO ADVISORS, LLC (CRD# 19616) - MIAMI, FL
01/2012 - 05/2013
OPPENHEIMER & CO. INC. (CRD# 249) - MIAMI, FL
02/2009 - 01/2012
UBS INTERNATIONAL INC. (CRD# 107726) - CORAL GABLES, FL
02/2008 - 02/2009
Call Soreide Law Group, (888) 760-6552, based in Fort Lauderdale, Florida, for a free consultation with an attorney if you feel your losses are due to your stock broker or financial advisor's recommendations. We represent clients nationwide before FINRA.
James Ryan Parascandola (James R Parascandola) was recently barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm with a start date of July 21, 2025. Parascandola was last registered as a broker with PRUCO SECURITIES LLC of East Brunswick, New Jersey from 05/16/2022 - 05/21/2024. Before PRUCO, he was […]
One or more investors possibly experienced losses because of securities broker Calvin James Heck [CRD: 1025767, Everett, Washington], based on public information found on FINRA BrokerCheck. Evidently, Heck has worked for Wedbush Securities Inc. in Los Angeles, California, since June 27, 2003, and in its Everett, Washington, office since June 11, 2020. Read on to […]
Investors potentially experienced sales practice violations due to securities broker Gregory John Libby [CRD: 2455485, Paramus, New Jersey], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Libby has been employed with Morgan Stanley at its Paramus, New Jersey branch since June 1, 2009, and continues to be registered with the […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com