April 2020-Houston, TX
According to publicly available records. Sofia T. Gonzalez (CRD#6243469), a former stockbroker who last worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated discloses 2 regulatory events, and a termination from employment.
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 March 2020 FINRA suspended Gonzalez for two months and fined her $5,000 after findings that she shared in losses incurred by two member firm customers, without the firm’s prior knowledge or approval . In October 2019 FINRA suspended Gonzalez for a month after failing to respond to FINRA request for information.
Gonzalez was employed by Merrill Lynch from July 2014 until she was discharged in 2/2019 as a result of allegations of conduct including failure to adhere to Firm standards related to client complaints and business communications. Before that time she had been employed with Coastal Securities.
If you have questions about an account handled by Sofia T. Gonzalez that suffered losses, call to discuss your options.
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.
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