Tag Archives: Lorenzo C. Esteva

Investors Sue Merrill Lynch For Misrepresentation

Lorenzo C. Esteva of Miami Florida a stockbroker formerly registered with Merrill Lynch Pierce Fenner Smith Inc. is the subject of a customer initiated investment related arbitration claim which was settled for $225,000.00 in damages supported by allegations that (1) omissions and unfounded statements had been made to the customer concerning the terms and conditions […]

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Regulator Bars UBS Broker For Unauthorized Transactions

September 22, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Lorenzo C. Esteva of Miami , Florida, a stockbroker formerly registered with 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 provide FINRA with information and documentation in the course of FINRA’s investigation into allegations of […]

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UBS Fires Stockbroker For Falsifying Customer Documents

August 26, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Lorenzo C. Esteva, of Miami, Florida, a stockbroker registered with UBS Financial Services, Inc., was terminated from employment on June 6, 2017, based upon allegations that he confessed to furnishing bogus account information to customers in the course of the firm’s investigation into his business activities. Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that […]

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