Humberto David Sirvent (CRD: 4866746), a former Entoro Securities LLC broker based in Houston, Texas, worked with the firm from May 16, 2016, through October 17, 2025. His FINRA BrokerCheck record includes a regulatory action, a disclosure concerning his departure from Entoro, and two client complaints. Here’s how those matters unfolded.
FINRA opened a regulatory case against Sirvent on July 30, 2026. The regulator said that he had failed to respond to requests for information. Case No. 2025086636601. FINRA ultimately suspended Sirvent from associating with any FINRA member firm in any capacity.
The suspension took effect on August 24, 2026, under FINRA Rule 9552. FINRA said Sirvent could be automatically barred from associating with any FINRA member firm on November 2, 2026, if he did not request termination of the suspension by the deadline set out in its notice.
Entoro Securities LLC reported that Sirvent voluntarily resigned on October 16, 2025. The firm alleged that he failed to update information about his outside business activities within the required 30 days, which it said violated company policy.
A client complaint involving Merrill Lynch, received on September 12, 2014, alleged that Sirvent made unsuitable investment recommendations, omitted material information, and made misrepresentations between August 2007 and August 2008. The dispute involved closed-end fund auction-rate securities, and the client claimed $3,375,000 in damages.
The complaint was denied on November 5, 2014. Merrill Lynch said the dispute arose amid widespread illiquidity in the auction-rate securities market. It noted that the securities had previously been sold as highly liquid investments throughout the financial services industry.
In a separate complaint received on October 16, 2008, a Merrill Lynch client alleged that Sirvent made unsuitable investment recommendations involving stocks. Merrill Lynch denied the complaint on January 16, 2009, and stated that it did not believe the allegations had merit.
Investors who believe they suffered losses involving Humberto Sirvent may contact Soreide Law Group online or call (888) 760-6552 to discuss possible recovery options with a securities attorney. The firm represents investors throughout the United States, works on a contingency fee basis, and advances litigation costs. Sirvent and the brokerage firms where he worked deny allegations of sales practice violations.
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Humberto David Sirvent (CRD: 4866746), a former Entoro Securities LLC broker based in Houston, Texas, worked with the firm from May 16, 2016, through October 17, 2025. His FINRA BrokerCheck record includes a regulatory action, a disclosure concerning his departure from Entoro, and two client complaints. Here’s how those matters unfolded. FINRA Suspended Sirvent Over […]
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