Tag Archives: Alex Gerardo Herrera

FINRA Revokes Stockbroker’s License For Failure to Pay Note to Former Employer

May 31, 2021  |   Posted by :   |   FINRA Securities Arbitration, Investment and Regulatory News, Selling Away and Outside Activities, Stockbroker Theft, Unauthorized Trading   |   Comments Off on FINRA Revokes Stockbroker’s License For Failure to Pay Note to Former Employer

Alex Gerardo Herrera of Coral Gables Florida a stockbroker formerly registered with UBS Financial Services has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon accusations that he failed to comply with an arbitration award or otherwise inform FINRA about his compliance.  FINRA Arbitration No. 20-00245  (Aug. […]

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FINRA Bars UBS Stockbroker In Selling Away Investigation

Alex Gerardo Herrera of Coral Gables Florida a stockbroker formerly employed by UBS Financial Services Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to cooperate in a FINRA investigation into accusations of his involvement in private securities transactions […]

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