FINRA recently announced that Maria Duarte Pumariega, a financial advisor formerly registered with Wachovia Securities in Miami, Florida, has been barred from association with any FINRA brokerage firm in any capacity. The sanction was based on findings that Pumariega, without permission or authority, converted approximately $140,000 in customer funds for her own purposes.
In addition to being barred from FINRA, Maria Duarte Pumariega was also criminally prosecuted and convicted of grand theft in the 1st degree by the 11th Judicial Circuit of Florida for her actions in the conversion of the client funds.
Prior to working as a stockbroker for Wachovia Securities, Maria Pumariega was a financial advisor with First Union Brokerage Services, Inc.
If you have questions about investments you made with Maria Pumariega or Wachovia Securities, or if you believe that you have been the victim of a securities fraud, The White Law Group may be able to help. To speak to a securities attorney, please call our Chicago office ate 312-238-9650.
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida.
For more information on The White Law Group, visit https://whitesecuritieslaw.com.
Tags: Aventura, broker fraud, FINRA, Florida, investment losses, investor protection, Maria Duarte Pumariega, Miami, NASD, securities arbitration, Securities Attorney, Securities Lawyer, South Florida, Wachovia Securities Last modified: January 30, 2023
