Category Archives: Robeco Securities

Robeco Securities Broker Pablo Fernandez-Pena Sanctioned by Regulator

February 3, 2015

 Pablo Fernandez-Pena  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he altered a letter that was prepared by his firm by including a false statement about the nature of an investment he was recommending to a prospective customer.

Fernandez-Pena, who was registered with Robeco Securities, LLC,  at the time, was barred from the securities industry by FINRA.

FINRA Case # 2013038244901

Robeco Securities, LLC, was formed in 2004, is registered in 52 states and territories and is headquartered in New York City.

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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