Tag Archives: Popular Securities LLC

Popular Securities Sued By Investors In Puerto Rican Bonds

April 10, 2019  |   Posted by :   |   Bond Fraud, Investment and Regulatory News   |   0 Comments

Yolanda M. Rosich Clemente of San Juan Puerto Rico a stockbroker currently registered with Popular Securities is referenced in a customer initiated investment related arbitration claim in which the customer requested $235,000.00 in damages supported by accusations that the customer was inappropriately advised to invest in Puerto Rico securities including closed end fund and government […]

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Popular Securities Customer Arbitration Alleging Unsuitability

Joanna Espasas of Miami, Florida, a stockbroker formerly registered with Popular Securities, LLC, has been named in a customer initiated investment related arbitration claim on December 21, 2015, in which the customer requested $1,173,866.00 in damages based upon allegations that Espasas made unsuitable recommendations to the customer concerning corporate debt and closed-end funds. The customer […]

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Popular Securities Stockbroker Suspended For Unauthorized Trading

December 24, 2016  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Manuel Mejia-Gomez, of San Juan, Puerto Rico, a stockbroker formerly associated with Popular Securities LLC, has been fined $15,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity after consenting to findings that he effected transactions in customer accounts without authorization. Letter of Acceptance, Waiver and Consent, No. 2015044285701 […]

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