Last Updated: December 2024 (Miami, FL)
Marcelo J. Poliak Investigation Summary
Here’s What You Need to Know About Miami, FL Stockbroker Marcelo Javier Poliak:
- Name: Marcelo Javier Poliak
- Current Employer: Not currently registered
- Prior Employers:
- Jefferies LLC (2017–2024)
- Wells Fargo Clearing Services, LLC (2004–2017)
- Prudential Securities Incorporated (1994–1995)
- Function: Stockbroker / Financial Advisor
- Aliases: Marcelo Poliak
- Primary Location: Miami, FL
- CRD Number: 2465622
- Can Marcelo Poliak Be Sued in FINRA Arbitration: Yes
- Sanctioned by FINRA: No
- Terminated by Prior Employer: Yes
- Highest Settlement or Award: $30,000
If you’ve sustained damages from Mr. Poliak, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Marcelo Poliak as Your Stockbroker?
Marcelo Poliak has faced multiple disclosure events, including customer disputes and employment termination. Key incidents include:
- Customer Dispute – Settled
- Date of Complaint: September 8, 2020
- Allegations: A former client alleged that an investment in a hedge fund did not meet their expressed investment objectives. When the fund’s performance began to falter, the client claimed they were persuaded not to liquidate.
- Settlement: $30,000 (June 14, 2021)
- Customer Dispute – Withdrawn
- Date of Complaint: July 10, 2017
- Allegations: The client alleged failure to disclose risks and repayment structures related to foreign debt investments and continued recommendations to hold the investment despite losses.
- Resolution: Withdrawn on July 25, 2017.
- Employment Termination
- Firm: Jefferies LLC
- Date: November 1, 2024
- Reason: Discharged for facilitating or failing to escalate impermissible money-wire transfers and deleting off-channel business communications.
According to Bloomberg News Poliak was fired, along with other members of his team at Jefferies: Pablo Gherardi, Rodrigo Soto and Guillermo Guerra. Bloomberg reports that the team was discharged after impermissible money-wire transfers were discovered as well as off channel communications that had been deleted. Wall Street firms have been fined heavily for use of off channel communications such as WhatsApp over recent years.
In addition broker Nicholas Coubrough CRD 4678755 was also fired by Jefferies for allegedly seeking improper payments from his colleagues in exchange for not disclosing their improper communication methods they engaged in as well as the fact they deleted off channel business communications.
Allegations of Broker Misconduct Against Marcelo Poliak
Customers and regulatory filings have alleged the following misconduct against Marcelo Poliak:
- Unsuitable Investment Recommendations: Allegations that investments, particularly hedge funds and foreign debt products, were inconsistent with clients’ financial goals.
- Failure to Disclose Risks: Claims of insufficient disclosure regarding investment risks and repayment structures.
- Improper Handling of Client Transactions: Allegations of facilitating impermissible money-wire transfers and engaging in off-channel business communications.
These actions may involve potential violations of FINRA Rule 2111 (Suitability Rule) and FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade).
Recover Your Investment Losses Now With Rex Securities Law
Our Investigations of other Jefferies LLC brokers
If you have suffered investment losses in an account handled by Marcelo Javier Poliak, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis, meaning that you do not pay legal fees unless we are successful.