The Soreide Law Group, PLLC, is a Securities Arbitration Law Firm, (888) 760-6552, and obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, May, 2013.”
Raphael Huaman (CRD #5868404, Registered Representative, Miami, Florida)
was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Huaman
consented to the described sanction and to the entry of findings that he misappropriated a total of $134,047.65 from different bank trust accounts at his member firm’s affiliate.
FINRA's findings stated that Raphael Huaman misappropriated the funds by having a colleague transfer money from the bank trust accounts to a separate affiliate account. Huaman then requested and obtained checks drawn on these accounts made out to third-party payees and deposited the checks into his personal bank account.
After the firm’s affiliate confronted Huaman regarding the transactions, he admitted his misconduct and the firm terminated his employment. The findings also stated that Huaman failed to respond to FINRA requests for information. (FINRA Case #2012034283301)
According to FINRA's BrokerCheck, this broker was previously registered with FINRA at the following brokerage firm:
SUNTRUST INVESTMENT SERVICES, INC.
CRD# 17499
MIAMI, FL
01/2011 - 10/2012
This ends the information from FINRA’s website.
If you have experienced a financial loss due to your stockbroker or financial advisor’s recommendations, call Soreide Law Group for a free consultation with an attorney at: 888-760-6552.
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