FINRA sanctioned securities broker Maria Pia Acevez Perez (CRD: 2981386, Miami, Florida). Evidently, the securities broker, who worked for VectorGlobal WMG, disclosed a regulatory action on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Allegedly, Perez failed to comply with FINRA in a timely manner concerning an investigation. For more about this regulatory action against Reese, see below.
Evidently, on March 13, 2023, FINRA issued Acceptance, Waiver, and Consent No. 2020065620601 sanctioning Maria Perez for infractions. Specifically, Perez was suspended for six months and fined $5,000. Particularly, FINRA alleged that Perez failed to timely comply with an investigation into possible violations of FINRA rules.
Without accepting or denying the findings, Acevez Perez reportedly agreed to the sanctions and acknowledged the findings that she did not promptly reply to separate requests from FINRA for information and documents as part of an investigation involving her disclosed outside business activities (OBA).
Notably, FINRA’s findings revealed that Acevez Perez initially provided a partial set of documents. Subsequently, he submitted additional documents but failed to provide a complete set until more than five months after the extended deadline. Supposedly, this occurred only after FINRA sent written correspondence highlighting deficiencies in previous responses.
Supposedly, FINRA issued another request to Acevez Perez, consisting of sixteen specific items. In response, Acevez Perez reportedly only provided information and documents relevant to one of the requests. Subsequently, she submitted another set of documents but failed to address the outstanding requests.
FINRA says that Acevez Perez completed the production of all requested information and documents. However, this was approximately two and a half months after the original extended due date.
Did you suffer damages due to Maria Perez? If so, get in touch with Soreide Law Group at (888) 760-6552 and speak with a securities attorney about a possible recovery of your losses. Soreide Law Group, who has successfully recovered money for hundreds of investors throughout the United States, represents clients on a contingency fee basis and advances all costs. Perez and brokerage firms Perez worked for deny any and all allegations of sales practice violations.
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