Alejandro Falla, of Coral Cables, Florida, a stockbroker formerly registered with BAC Florida Investments, was fined $60,000.00 and suspended for eighteen months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity per an Office of Hearing Officers’ Order Accepting Offer of Settlement containing findings that Falla made misleading statements and omissions […]
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Tag Archives: BAC Florida Investments
BAC Florida Investments Stockbroker Suspended For Lying
December 17, 2016 | Posted by : Guiliano Law Group | Bond Fraud, Excessive Markups, Investment and Regulatory News | 0 Comments
BAC Florida Investments Stockbroker Charged With Fraud
October 15, 2016 | Posted by : Guiliano Law Group | Excessive Markups, FINRA Securities Arbitration, Investment and Regulatory News | 0 Comments
Alejandro Falla, of Coral Cables, Florida, a stockbroker with BAC Florida Investments, was charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint alleging that Falla had fraudulently charged mark-ups to customers. Department of Market Regulation v. Falla, No. 20160500923-01 (Sept. 26, 2016). According to the Complaint, Falla worked in the capacity […]
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