German Ricardo Mora of San Antonio Texas is a stockbroker formerly registered with Merrill Lynch who has been fired on November 11, 2016 based upon allegations that he executed transactions in customers’ accounts on a discretionary basis and marked order tickets as having been unsolicited when they were actually solicited.
On November 29, 2016, Mora became employed with Wells Fargo Clearing Services, LLC, but he was fired on January 25, 2017 based upon accusations that he misrepresented the basis by which he was fired from Merrill Lynch.
Mora became associated with Mora WM Securities on August 29, 2017. Since July 19, 2006, Mora has been associated with seven different broker dealers, one of which is defunct or has otherwise been expelled by securities regulators for violation of federal securities laws.
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