The Financial Industry Regulatory Authority (FINRA) BrokerCheck shows new investor dispute information regarding securities broker Marcelo Javier Poliak (CRD#: 2465622, Miami, Florida). It appears that Poliak worked for securities firm Wells Fargo Clearing Services. He was a financial advisor and securities broker at Wells Fargo until May 2017. He joined Jeffries LLC as a broker in 2017 and Leucadia Asset Management in July 2017 as a financial advisor. Here's a look at the investor disputes about Poliak relating to his actions at Jeffries and Wells Fargo.
Evidently, a client of Jeffries LLC brought a complaint about Marcelo Poliak in June 2021. Mainly, the client claims that Poliak had them invest in a bad hedge fund. The investment supposedly did not meet the client’s investment objectives. Allegedly, Poliak talked the client out of liquidating the investment after the performance faltered. It appears that Jeffries LLC agreed to resolve this matter by making a $30,000 payment to the client.
Also, a Wells Fargo Advisors client disputed Marcelo Poliak’s sales practices in July 2017. According to the client, Poliak failed to tell them about risks and a repayment structure concerning a foreign debt investment. Supposedly, Poliak kept recommending for the client to hold the investment when it declined in value. However, the client withdrew this complaint in July 2017. Additionally, Poliak denies the client’s allegations about his actions.
Did Marcelo Poliak cause you to experience losses? If so, call Soreide Law Group at (888) 760-6552 and speak with a securities lawyer about a potential recovery of your losses. Soreide Law Group represents clients on a contingency fee basis and advances all costs. The firm has recovered compensation for many United States investors who incurred losses because of their financial advisors and securities brokers. Please note that Poliak denies all allegations of his sales practice violations as alleged in these disputes on BrokerCheck.
Cowen and Company, LLC (CRD 7616), now part of TD Securities (USA) LLC, is a brokerage firm based in New York, New York. FINRA censured and fined the firm a total of $80,000, of which $40,000 is payable to FINRA, according to an AWC issued August 19, 2026.
Webull Financial LLC (CRD 289063) is a brokerage firm based in New York, New York. FINRA censured and fined the firm $115,000 after finding it maintained inaccurate books and records of options order origin codes, according to an AWC issued August 17, 2026.
Marc Miller (CRD 1133692) is a registered representative with Western International Securities. According to BrokerCheck, a customer filed a claim against him on March 3, 2025 that remains pending.
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