Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker John Abraham Perez-Cubero [CRD: 6674954, Short Hills, New Jersey]. Perez-Cubero worked for Morgan Stanley from April 4, 2018, to October 6, 2023. His refusal to comply with a FINRA investigation has led to his expulsion from the securities industry. Read on to learn more about a client dispute and the regulatory issues Perez-Cubero disclosed.
On September 11, 2024, FINRA barred John Perez-Cubero after he refused to provide documents and information requested during an investigation (Case No. 2023078273201). Initially, Perez-Cubero complied with FINRA’s requests but ceased cooperation in August 2024. Despite follow-up requests from FINRA in July 2024, Perez-Cubero did not submit the required documentation. Consequently, FINRA said he violated FINRA Rules 8210 and 2010, which require brokers to provide information necessary for regulatory examinations.
A client of Morgan Stanley made a complaint on January 12, 2024, accusing John Perez-Cubero of forgery and misappropriation related to investments during his employment. The client alleged that Perez-Cubero’s actions caused damages. Evidently, Morgan Stanley resolved the matter by paying $10,000 in a settlement.
For more information about this case, contact Soreide Law Group online or call (888) 760-6552 to speak with a securities attorney. Perez-Cubero and the firms he was affiliated with deny accusations of sales practice violations. Soreide Law Group has experience representing investors throughout the country. The firm handles cases on a contingency basis.
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