Soreide Law Group is investigating possible investor claims against securities broker Roman Meyerhans (CRD: 4587943, Miami, Florida). Notably, FINRA sanctioned the securities broker, who worked for Raymond James Associates Inc. Allegedly, Meyerhans made unauthorized communications with clients regarding securities business. Here is a brief summary of FINRA’s allegations against Meyerhans.
Supposedly, on March 28, 2023, FINRA issued Acceptance, Waiver, and Consent No. 2021069375301 sanctioning Roman Meyerhans for infractions. Specifically, Meyerhans was fined $10,000 and suspended for 30 days as a securities broker. Notably, FINRA alleged that Meyerhans made unauthorized communications with clients regarding securities business.
Specifically, a client of Deutsche Bank Securities Inc. contested Roman Meyerhans’ sales practices by filing FINRA Arbitration: 21-00046. Allegedly, Meyerhans gave unsuitable advice, mismarked trade tickets, made omissions, and inappropriately used margin. It appears that Meyerhans caused the client to sustain damages on foreign bonds. Therefore, Deutsche Bank Securities Inc. opted to settle the matter on September 20, 2021, by compensating the client in the amount of $21,000.
Suffer damages because of Roman Meyerhans? 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 in all 50 states, represents investors on a contingency fee basis and advances costs. Meyerhans and brokerage firms Meyerhans worked for deny any and all allegations of sales practice violations.
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