Tag Archives: James Luis Fonseca

FINRA Bars Rothschild Lieberman Broker For Conversion

James Luis Fonseca of Rothschild Lieberman LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he converted a customer’s funds and then failed to cooperate with FINRA in an investigation into his activities. Letter of Acceptance Waiver and Consent No. 2015048041101 […]

Read More »