FINRA barred securities broker Marcelo Javier Poliak [CRD: 2465622, Miami, Florida], and multiple investors complained about him, according to public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Marcelo Poliak worked for Jefferies LLC from May 5, 2017, to December 6, 2024. See the following information to find out more about disclosures involving Poliak as reported on FINRA BrokerCheck.
FINRA Sanctioned Poliak For Alleged Failure To Testify About Wire Transfers And Business Communications
Evidently, on May 19, 2026, FINRA issued Case No. 2024084295503 sanctioning Marcelo Poliak. Specifically, Poliak was barred from associating with any FINRA member in all capacities. Notably, FINRA alleged that Poliak failed to testify when requested during a regulatory investigation.
According to FINRA, the investigation stemmed from information it received concerning potential compliance issues. FINRA stated that Jefferies LLC ended Poliak's employment on December 6, 2024, after identifying concerns regarding certain wire transfer activity and business-related communications that allegedly occurred outside firm-approved channels. During its investigation, FINRA requested testimony from Poliak under FINRA Rule 8210. FINRA alleged that Poliak declined to appear for the requested testimony. As a result, FINRA found that he violated Rules 8210 and 2010.
Marcelo Poliak Disclosed Unsuitable Recommendations Allegations By Jefferies LLC Client
Specifically, a client of Jefferies LLC contested Marcelo Poliak's sales practices, according to a complaint. Allegedly, Poliak made unsuitable recommendations. It appears that Poliak allegedly caused the client to sustain damages associated with hedge funds. Consequently, Jefferies LLC agreed to settle the matter on June 14, 2021, by compensating the client in the amount of $30,000.
The client alleged that a hedge fund investment was inconsistent with the client's stated financial objectives. The complaint further claimed that, after the investment's results deteriorated, Poliak encouraged the client to remain invested rather than sell the position.
Wells Fargo Advisors Investor Accused Poliak Of Omissions
Particularly, on July 10, 2017, a Wells Fargo Advisors client filed a complaint about Marcelo Poliak. Primarily, the client alleged that Poliak made omissions. For this reason, the client allegedly sustained damages tied to foreign bonds. Therefore, the client requested $27,427.95 in compensation from Wells Fargo Advisors or Poliak.
The client claimed that important information concerning the investment's risks and repayment features was not adequately explained before the purchase. The complaint also alleged that Poliak continued recommending that the investment be retained after its value declined. The matter was withdrawn on July 25, 2017.
Have You Made Investments Through Financial Advisor / Securities Broker Marcelo Poliak?
Are you worried about investments you made through Marcelo Poliak? You can contact Soreide Law Group online or at (888) 760-6552 and speak to a securities attorney concerning a possible recovery of your investment losses. Soreide Law Group has recovered losses for hundreds of investors throughout the United States. Also, our securities lawyers work on a contingency fee arrangement and advance all costs. Poliak and brokerage firms Poliak worked for deny allegations of sales practice violations.
