Pedro Santa Maria Has Been Sanctioned in Connection to Alleged Rule Violations

Pedro Santa MariaPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 30, 2017 indicate that Chile-based Global Investor Services broker Pedro Santa Maria has been sanctioned by FINRA in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Santa Maria (CRD# 3174187).

Pedro Santa Maria has spent eleven years in the securities industry and has been registered with Global Investor Services in Santiago, Chile since 2014. Previous registrations include Wachovia Securities in Santiago, Chile and Prudential Securities in New York, New York. He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), Series 3 (National Commodity Futures Examination), and Series 7 (General Securities Representative Examination).. He is currently not registered with any US states.

According to his BrokerCheck report, Pedro Santa Maria has been sanctioned by FINRA.

In March 2017 FINRA sanctioned him following allegations he “engaged in undisclosed outside business activities by referring clients to an accounting firm and receiving compensation without providing prior written notice to and obtaining prior approval from his member firm,” activities that were “expressly prohibited Santa Maria’s participation in such activities.” For his activities, Mr. Santa Maria received “received and deposited referral fees from the accounting firm in the amount of approximately $19,621,” according to FINRA. He was issued a 45-day suspension from associating with any FINRA member in any capacity.

If you have lost money investing with Pedro Santa Maria, you may be able to recover your losses. Call Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis: Fitapelli Kurta only gets paid if and when you collect funds. 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.