Fernando de la Lama Merino— Alleged Sales of Illiquid Structured Notes and Bonds Referred by a Foreign Individual

Fernando de la Lama Merino Allegedly Sold Illiquid Structured Notes and Bonds Referred by a Foreign Individual while Associated with EFG Capital International, a FINRA Regulated Member Firm

Fernando de la Lama Merino allegedly made sales of illiquid structured notes and bonds referred by a foreign individual while he was associated with EFG Capital International, according to a Complaint from FINRA’s Department of Enforcement currently under review by attorneys Alan Rosca and James Booker.

Peiffer Rosca Wolf securities practice lawyers are investigating investment recovery options on behalf of investors in issues related to Fernando de la Lama Merino’s alleged sale of illiquid structured notes and bonds.

Investors who believe they may have lost money in activity related to Fernando de la Lama Merino’s alleged sale of illiquid structured notes and bonds are encouraged to contact attorneys Alan Rosca or James Booker with any useful information or for a free, no obligation discussion about their options.

FINRA’s Department of Enforcement, on June 30, 2015, reportedly opened an investigation into De la Lama’s alleged potential misconduct which involved the aforementioned sales of illiquid structured notes and bonds referred by a foreign individual, and then brought this disciplinary proceeding against Fernando de la Lama Merino on October 24, 2016, the Complaint notes.

The Peiffer Rosca Wolf securities lawyers are currently investigating Fernando de la Lama Merino’s alleged sale of illiquid structured notes and bonds.

De la Lama Allegedly Violated FINRA Rules by Failing to Produce Requested Documents during an Investigation into Alleged Potential Misconduct and Therefore FINRA Has Barred Him from Associating with any FINRA Member Firm

De la Lama allegedly violated FINRA Rules by failing to produce requested documents during an investigation into his potential misconduct, according to the aforementioned Complaint currently under review by attorneys Alan Rosca and James Booker.

De la Lama has allegedly not answered FINRA’s request, and on January 23, 2017, Enforcement filed a Motion for Entry of Default Decision and Imposition of Sanctions, the Complaint reports.

De la Lama allegedly violated FINRA Rules by failing to produce requested documents during a FINRA investigation into his potential misconduct and hence has been barred from associating with any FINRA member firm, the Complaint notes.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of alleged investment fraud and are currently investigating Fernando de la Lama Merino’s alleged sale of illiquid structured notes and bonds. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.

Investors who believe they lost money as a result of Fernando de la Lama Merino’s alleged sale of illiquid structured notes and bonds may contact the securities lawyers at Peiffer Rosca Wolf, Alan Rosca or James Booker, for a free no-obligation evaluation of their recovery options, at 888-998-0520 or via e-mail at arosca@prwlegal.com or jbooker@prwlegal.com.

Alan Rosca (1159 Posts)

Alan is a securities lawyer. He also teaches Securities Regulation at the Cleveland-Marshall College of Law. He focuses his legal practice on complex commercial and financial litigation and arbitration, particularly in the areas of securities and investment fraud. His office is in Cleveland, Ohio.


In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow cases about which we report, and/or to publish subsequent blogs regarding various developments that may occur in such cases. Readers are encouraged to conduct their own research regarding any such cases and any developments that may or may not have occurred in such cases.