(FINRA Case #2017054827701)
Lorenzo C. Esteva (CRD #2170595, Miami, Florida) September 11, 2017 – An AWC (Accept Waiver & Consent) was issued in which Esteva was barred from association with any FINRA member in all capacities.
Without admitting or denying the findings, Esteva consented to the sanction and to the entry of findings that he failed to produce FINRA requested documents and information as part of an investigation into customer complaints that he provided falsified account statements to a customer from 2001 to 2017, and that he improperly journaled funds between accounts of two unrelated customers.
Esteva worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated from 1991 to 2015. Then Esteva was employeed by UBS Financial Services Inc. from 2015 to 2017
If you feel you have been misled or taken advantage by Lorenzo C. Esteva or any Broker and wish to discuss legal action, please contact Darren Blum at 1-877-786-2552 (1-877-STOCK LAW), www.stockattorneys.com for a free consultation.