Alejandro C. Rotundo (CRD #4627887, Registered Representative, Miami, Florida)
was fined $5,000 and suspended from association with any FINRA member in any capacity for 30 business days.
Without admitting or denying FINRA's findings, Rotundo consented to the described sanctions and to the entry of findings that he executed option trades in a customer’s account without the customer’s written authorization and without his member firm’s acceptance of the account as discretionary.
FINRA's findings stated that Rotundo’s discretionary trading activity resulted in customer losses of $489,230, which his firm reimbursed to the customer.
The suspension was in effect from June 18, 2012, through July 30, 2012.
(FINRA Case #2010024417501)
This information was found on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2012.”
Securities Lawyer, Lars K. Soreide, of Soreide Law Group, PLLC, represents clients nationwide. If you have investment losses, call for a free consultation on how to potentially recover those losses. To speak with an attorney call 888-760-6552, or visit our website at: https://www.securitieslawyer.com.
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