Tag Archives: EFG Capital International

EFG Capital International Stockbroker Charged With Obstructing FINRA Investigation

November 02, 2016  |   Posted by :   |   Bond Fraud, Investment and Regulatory News   |   0 Comments

Fernando de la Lama Merino, of Miami, Florida, a stockbroker formerly registered with EFG Capital International, was charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint alleging that de la Lama failed to cooperate in a FINRA investigation into allegations of de la Lama’s sales practice violations. Department of Enforcement v. […]

Read More »