In June 2024, a customer claim naming Amir Navab (CRD 2437020) settled at Great Gable Wealth Management for $180,000. His BrokerCheck report also shows settled disputes at UBS Financial Services, starting in 2004.
Investors potentially incurred losses because of securities broker Juan Pablo Rionda [CRD: 2363399, Delray Beach, Florida], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Rionda has been registered with Merrill Lynch as a securities broker since September 10, 1993, and as a financial advisor since September 16, 1993. See below to discover more about Rionda’s disclosures.
Particularly, a Merrill Lynch client filed FINRA Arbitration No. 25-00034 concerning Juan Rionda. Primarily, the client alleged that Rionda misappropriated funds. Therefore, on April 27, 2026, Merrill Lynch settled the matter by paying the client $6,000,000 in compensation. Rionda reportedly contributed $2,750,000 to the settlement. Rionda stated that, without admitting wrongdoing, he agreed to contribute to resolve the matter and avoid the costs and uncertainty of arbitration.
Specifically, a client of Merrill Lynch disputed Rionda’s sales practices, according to a complaint dated October 15, 2002. Allegedly, Rionda made an unsuitable recommendation involving an over-the-counter preferred trust investment, and the client claimed not to have understood that this was the type of investment being purchased. It appears that Rionda allegedly caused the client to sustain damages involving over-the-counter equities. Merrill Lynch denied the complaint on December 28, 2005.
Do you have concerns or questions regarding investments you made with Juan Rionda? You should contact Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney concerning a possible recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the country. Also, our securities lawyers work on a contingency fee arrangement and advance all costs. Rionda and brokerage firm Merrill Lynch deny allegations of sales practice violations.
In June 2024, a customer claim naming Amir Navab (CRD 2437020) settled at Great Gable Wealth Management for $180,000. His BrokerCheck report also shows settled disputes at UBS Financial Services, starting in 2004.
Centaurus Financial appears as the firm on a pending customer arbitration against Brett Ewing (CRD 2904608). The customer filed it on September 14, 2026. According to BrokerCheck, the customer alleges that Ewing recommended unsuitable, illiquid investments from February 2016 through February 2019. Ewing denies the allegations, and no arbitrator has ruled.
FINRA found that Eric Kleiner (CRD 4135180) refused to provide documents and information it requested during an investigation. Without admitting or denying the findings, Kleiner consented to the sanction and to the entry of findings.
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