Tag Archives: Efrain Balderrama Trujillo

Financial West Stockbroker Sanctioned For Failure To Supervise

November 30, 2020  |   Posted by :   |   Failure To Supervise, FINRA Securities Arbitration, Investment and Regulatory News   |   Comments Off on Financial West Stockbroker Sanctioned For Failure To Supervise

Efrain Balderrama Trujillo of Los Angeles California a stockbroker formerly registered with Financial West Group has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any principal capacity and has been fined $20,000.00 based upon findings that he neglected to supervise those of his stockbrokers who executed unsuitable securities and options […]

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