Rafael Santiago Fired by COR Clearing, LLC and Barred from Securities Industry – Goodman & Nekvasil P.A., May Recover Investor Losses

Goodman & Nekvasil P.A., May Recover Investor Losses - Rafael Santiago Fired by COR Clearing, LLC and Barred from Securities Industry 

From 2013 until Rafael Santiago’s firing in 2014, Rafael Santiago was licensed with COR Clearing, LLC. Rafael Santiago was also licensed with Primary Capital, LLC and Morgan Stanley. According to FINRA’s records, Rafael Santiago was fired by COR Clearing, LLC on October 5, 2014. COR Clearing, LLC reported to FINRA that Rafael Santiago was accused of entering unauthorized trades in a customer’s account. COR Clearing, LLC also reported to FINRA that after review of Firm records and multiple interviews of affected representatives, COR Clearing LLC determined that Rafael Santiago entered unauthorized trades in the customer’s account.

Subsequent to Rafael Santiago’s firing by COR Clearing, LLC, FINRA investigated Rafael Santiago and brought a disciplinary action against Rafael Santiago. Rafael Santiago was barred from the securities and investment banking industry by the Financial Industry Regulatory Authority (FINRA) on July 22, 2016. FINRA reports that Rafael Santiago failed to respond to FINRA request for information.

If you lost any money on investments with Rafael Santiago, you may be able to recover your losses from COR Clearing, LLC, Primary Capital, LLC and/or Morgan Stanley. This is because COR Clearing, LLC, Primary Capital, LLC and Morgan Stanley had a duty to supervise Rafael Santiago.  

If you lost money on investments with Rafael Santiago and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against COR Clearing, LLC, Primary Capital, LLC and/or Morgan Stanley concerning Rafael Santiago’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.

Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $300 million on behalf of victimized investors. If you lost money on investments with Rafael Santiago and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.  

 

Keywords: Rafael Santiago, COR Clearing, FINRA, Primary Capital, LLC, Morgan Stanley, SEC, Fraud, Attorney, Broker, Brokerage, Firm, Brokerage Firm, Invest, Lawyer, Securities Lawyer, Goodman and Nekvasil, Nekvasil, Goodman, Investor, Investment, Financial, Financial Services, Securities 

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