Category Archives: USCA Securities

Grizelle Perez-Former Sanders Morris Harris Broker-Permanently Barred by Regulators- Houston, TX

November 2020- Houston, TX

According to publicly available records, former  financial advisor Grizelle E. Perez, who last worked for USCA Securities,  has been barred from the securities industry by FINRA.

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 January 2020 , in FINRA case 2019064437801. Perez was  permanently barred from the securities industry to resolve allegations that she failed to respond to FINRA request for information in connection with a regulatory investigation.

Perez had been employed by USCA Securities since March of 2018.   Before that time she was with Sanders Morris Harris and prior to that, USB Financial Services. 

If you have questions about an account handled by Grizelle Perez, 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.

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