Fernando De La Lama: Subject of Pending FINRA Complaint

 Fernando De La LamaPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on November 28, 2016 indicate that former Florida-based EFG Capital International broker Fernando De La Lama is currently not affiliated with any broker-dealer firm and has been named in a pending regulatory complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. de la Lama (CRD# 2257749).

Fernando de la Lama has spent fifteen years in the securities industry and was most recently registered with EFG Capital International in Miami, Florida (2003-2016). He was previously registered with Prudential Securities in New York, New York (2002-2003) and Coutts Securities in Miami, Florida (2001-2002). He is currently not registered with any state or firm.

According to his BrokerCheck report, Fernando de la Lama is the subject of a pending FINRA complaint.

In October 2016 Fernando de la Lama was named in a FINRA complaint alleging he “failed to provide any response to requests for documents and information related to a FINRA investigation into his potential misconduct involving the sales of illiquid structured notes and bonds referred by a foreign individual while he was associated with a FINRA regulated member firm.” According to FINRA’s complaint, “the documents requested by FINRA include his telephone bills, telephone numbers for certain individuals involved in the referred transactions, passwords used by de la Lama when sending documents through email with those individuals, and electronic communications with those individuals sent or received through de la Lama’s personal email accounts.” The action remains pending.

If you or someone you know has lost money investing with Fernando de la Lama, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.