Tag Archives: Richard Gomez

FINRA Bars Legend Securities Stockbroker For Fraud

Richard Gomez of New York New York is a former Legend Securities Inc. stockbroker who is subject of a Financial Industry Regulatory Authority (FINRA) National Adjudicatory Council Decision which contained findings that Gomez (1) made fraudulent misrepresentations to customers (2) recommended securities that were not suitable for customers and (3) sold investments away from Legend […]

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Avenir Financial Group Stockbroker Suspended

Richard Gomez of New York, New York, a stockbroker formerly registered with Avenir Financial Group, has been suspended for one year from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Gomez, inter alia, effected unauthorized and excessive trades in the customers’ accounts. Letter of Acceptance, Waiver […]

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Avenir Financial Group Named In Customer Fraud Arbitration

Richard Gomez, of New York, New York, a stockbroker formerly associated with Avenir Financial Group, has been subject to a customer initiated investment related arbitration claim on July 11, 2016, in which the customer requested $100,000.00 in damages based upon allegations that Gomez breached his fiduciary and contractual duties, and sold fraudulent investments to the […]

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Legend Securities Stockbroker Barred for Selling Away

Richard Gomez, of New York, New York, a stockbroker with Legend Securities, Inc., was permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity in connection with a Hearing Panel Decision containing findings that Gomez engaged in private securities transactions, and made unsuitable recommendations to investors. Department of Enforcement […]

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