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.
Soreide Law Group is investigating potential investor claims involving sales practice violations by securities brokers and financial advisors related specifically to Next Level Holdings LLC and its affiliated Yield Wealth investment products. These offerings—including Next Level Notes and Yield Term Deposits—were promoted as high-yield, income-generating investments with purported principal protection. However, significant adverse information has […]
Investors have reportedly disputed the sales practices of securities broker David Robert McCain [CRD: 2039283, Johnson City, Tennessee], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. McCain worked for Woodbury Financial Services Inc. from September 4, 2009, to January 19, 2024, Osaic Wealth Inc. from January 19, 2024, to August 22, 2024, and […]
Investors apparently complained about securities broker Ian Christopher McElreath [CRD: 4754189, Atlanta, Georgia], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. McElreath worked for Ameritas Investment Company LLC from November 26, 2019, to April 6, 2021; 20/20 Capital Management, Inc from January 17, 2020, to April 20, 2021; Emerson Equity […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com