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."
Florida-based Soreide Law Group, (888) 760-6552, represents clients nationwide before FINRA. Please call for a free consultation with an attorney on how to potentially recover your investment losses.
Investors may have suffered financial harm by securities broker David Jay Betman [CRD: 1380281, West Conshohocken, Pennsylvania], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Betman has worked for Morgan Stanley since March 25, 2010, as a securities broker and since March 26, 2010, as a financial advisor. See the […]
Investors potentially experienced sales practice violations by securities broker Andrew Martz [CRD: 5118326, Southlake, Texas], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Andrew Martz worked for Western International Securities Inc. and Western International Securities from July 13, 2017, and July 14, 2017, respectively, through June 5, 2025, and has been registered with […]
Investors potentially incurred losses because of securities broker Richard Raymond Brown [CRD: 2541545, Valley Village, California], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Brown worked for Lincoln Financial Advisors Corporation from December 19, 1997, to December 26, 2019, and has been associated with Arete Wealth Management LLC and Arete Wealth Advisors […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com