Last Updated: December 2024 (Miami, FL)
Guillermo Guerra Investigation Summary
Here’s What You Need to Know About Miami, FL Stockbroker Guillermo Guerra:
- Name: Guillermo Enrique Guerra Romiti
- Current Employer: Not currently registered
- Prior Employers:
- Jefferies LLC (2017–2024)
- Wells Fargo Clearing Services, LLC (2005–2017)
- Function: Stockbroker / Financial Advisor
- Aliases: Guillermo Guerra
- Primary Location: Miami, FL
- CRD Number: 4907302
- Can Guillermo Guerra Be Sued in FINRA Arbitration: Yes
- Sanctioned by FINRA: No
- Terminated by Prior Employer: Yes
If you’ve sustained damages from Mr. Guerra, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Guillermo Guerra as Your Stockbroker?
Guillermo Guerra was terminated from Jefferies LLC in November 2024 due to allegations of misconduct, including facilitating impermissible money-wire transfers and engaging in off-channel business communications. These allegations raise significant concerns about compliance with regulatory standards and firm policies.
According to Bloomberg News Guerra was fired, along with other members of his team at Jefferies: Marcelo Poliak, Rodrigo Soto and Pablo Gherardi. 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 Guillermo Guerra
Customers and regulatory filings have alleged the following misconduct against Guillermo Guerra:
- Facilitating Impermissible Money-Wire Transfers: Allegations suggest that Mr. Guerra failed to identify and address improper money-wire transactions, breaching internal controls and regulatory requirements.
- Off-Channel Communications: Use of unauthorized communication methods and deletion of business records, which violates FINRA Rule 4511 (Recordkeeping).
Recover Your Investment Losses Now With Rex Securities Law
Our Investigations of other Jefferies LLC brokers
Investigation of Former Jefferies Broker Pablo Gherardi
If you have suffered investment losses in an account handled by Guillermo E. Guerra Romiti, 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.