Soreide Law Group, based in South Florida, obtained the following information from FINRA’s November 2017 Disciplinary report regarding Miami broker:
Lorenzo C. Esteva (CRD #2170595, Miami, Florida)
Lorenzo C. Esteva was barred by FINRA for allegedly failing to produce FINRA-requested documents and information as part of an investigation into client complaints that he allegedly provided falsified account statements to a client from 2001 to 2017, and that he allegedly improperly journaled funds between accounts of two unrelated clients.
(FINRA Case #2017054827701)
According to FINRA’s BrokerCheck, Lorenzo C. Esteva had been in the securities industry for 25 years and was listed with the following 2 firms:
11/17/2015 - 07/06/2017 UBS FINANCIAL SERVICES INC. - MIAMI, FL
08/12/1991 - 11/20/2015 MERRILL LYNCH, PIERCE, FENNER & SMITH INC. - MIAMI, FL
FINRA has barred Lorenzo C. Esteva from acting as a broker or otherwise associating with a broker-dealer firm. Lorenzo C. Esteva has 10 Disclosures on his report, 8 of which are ‘Customer Disputes.’ Some of the allegations in the 5 ‘Pending Customer Disputes,’ available to the public on FINRA’s website, are: providing false account statements, not giving permission to open a credit line, and 3 allegations of unsuitable positions.
If you were a former client of Miami broker, Lorenzo C. Esteva, and you experienced financial losses due to his actions or recommendations, contact Soreide Law Group, conveniently based in South Florida, for a no cost consultation with an experienced securities lawyer regarding the possible recovery of your funds through a FINRA arbitration at: 888-760-6552.
Soreide Law Group represents our clients nationwide before FINRA. We operate on a contingency fee basis. Let our experience work for you.
Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CONCORDE INVESTMENTS SERVICES, LLC, and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC (Respondents). The Claimants are in their late 70s, retired, and according to the lawsuit, were not looking to take any unnecessary risks with their retirement savings. The Claimants […]
THEODORE WILLIAM BYRER (THEODORE W BYRER, TED BYRER) was registered as a broker with MORGAN STANLEY of Indianapolis, Indiana, from 11/11/2013 - 04/20/2023. He was most recently registered with INTERNATIONAL ASSETS ADVISORY, INC of Westfield, Indiana, from 05/09/2023 - 09/17/2024. According to his BrokerCheck CRD report, dated 7/23/2026, THEODORE W BYRER was suspended for 14 […]
MARK LAWRENCE SULLIVAN (MARK SULLIVAN, MARK L SULLIVAN), formerly with UBS Wealth Management USA in New York City, was fined $10,000 and suspended for three months by the Financial Industry Regulatory Authority (FINRA) over allegations that he traded in customers’ accounts without the proper approval. Sullivan was previously registered both as a broker and as an […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com