August 2021- Miami, FL/Rio de Janeiro, Brazil
According to publicly available records, Roland Gerbauld a broker previously employed with Bolton Global Capital. discloses a prior regulatory event and a pending regulatory event.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In November of 2020, in FINRA case #2019064876101 , Gerbauld consented to the sanctions and to the entry of findings that he failed to substantially comply with FINRA’s request to provide documents and information in connection with an investigation as to whether he participated in a money-laundering scheme as alleged by the Federal Prosecution Office, Office of the Attorney General of State of Rio de Janeiro, Brazil. The findings stated that although Gerbauld initially produced certain requested documents, he acknowledged that he would not produce any of the remaining information or documents requested. Sanctions were a permanent bar from FINRA in all capacities.
IN 11/2019, Brazilian prosecutors commenced an action seeking incarceration of Gerbauld for alleged money laundering activity. That matter is currently pending.
Gerbauld was employed with Bolton Global Capital from December of 2016 until December of 2019. Gerbauld was owner and founder of Lafite Wealth Management, a securities business in Miami, FL. He previously was affiliated with Triscorp Investmentos in Rio de Janeiro, Brazil.
If you have losses in an account handled by Roland Gerbauld, call to learn how you may be able to recover damages through FINRA arbitration.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
Florida-561 391 1900