FINRA recently announced that Maria Duarte Pumariega, a financial advisor formerly registered with Wachovia Securities in Miami, Florida, has been barred from association with any FINRA brokerage firm in any capacity. The sanction was based on findings that Pumariega, without permission or authority, converted approximately $140,000 in customer funds for her own purposes.
In addition to being barred from FINRA, Maria Duarte Pumariega was also criminally prosecuted and convicted of grand theft in the 1st degree by the 11th Judicial Circuit of Florida for her actions in the conversion of the client funds.
Prior to working as a stockbroker for Wachovia Securities, Maria Pumariega was a financial advisor with First Union Brokerage Services, Inc.
If you have questions about investments you made with Maria Pumariega or Wachovia Securities, or if you believe that you have been the victim of a securities fraud, the Law Offices of David A. Carter, P.A. may be able to help. The Law Offices of David A. Carter, P.A. is a South Florida securities fraud, securities arbitration, investor protection, and Chapter 7 bankruptcy law firm based in Boca Raton. David Carter is a securities attorney that reviews securities fraud cases throughout the country and Florida, including securities fraud cases in Westin, Key Largo, Fort Lauderdale, Deerfield Beach, Coral Gables, Hollywood, Pompano Beach, and Aventura. To contact the Law Offices of David A. Carter, P.A., please call 561-750-6999, or email us at contact@carterpa.com. For more information about the Law Offices of David A. Carter, P.A., you can also visit our website at www.carterpa.com.