Raymond Sardina (CRD #3068885, Miami, Florida)
was suspended by FINRA for one month for allegedly borrowing $10,000 from a client. His member firm’s policies and procedures prohibit borrowing money from clients. Sardina repaid the loan while the individual was still a client of the firm.
FINRA's findings stated that Sardina neither notified the firm that he had received the loan nor obtained its approval to do so.
FINRA's findings also stated that Sardina falsely represented on the firm’s annual compliance questionnaire that he had not received a loan from any firm client.
The suspension was in effect from April 20, 2015, through May 19, 2015.
(FINRA Case #2013038581401)
Raymond Sardina is currently registered with:
RAYMOND JAMES & ASSOCIATES, INC. (CRD# 705)
2525 PONCE DE LEON BOULEVARD, SUITE 600, CORAL GABLES, FL 33134
Registered with this firm since 03/2007
Raymond Sardina was previously registered with the following firm:
09/2000 - 03/2007 MORGAN STANLEY DW INC. (CRD# 7556) - MIAMI, FL
This ends the information obtained from FINRA's "Disciplinary and Other Actions May 2015."
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