Henrique Lucena Has Entered Bankruptcy Following Dispute with Morgan Stanley
Henrique Lucena (CRD #: 5605196), a broker registered with Laidlaw & Company, is facing a bankruptcy and a recent regulatory action, according to his BrokerCheck record, accessed on September 16, 2021.
On July 16, 2021, Henrique Lucena filed for bankruptcy.
On March 5, 2021, FINRA alleged that Henrique Lucena failed to comply with an arbitration award. Henrique Lucena allegedly asserted he could not pay an arbitration award rendered in the matter of Morgan Stanley LLC vs. Henrique Lucena. The hearing was held on June 2, 2021, and the hearing officer determined that Lucena had failed to establish his defense. FINRA fined Henrique Lucena $1,631.88 and suspended him for six days.
On November 11, 2020, an investor alleged that Henrique Lucena misrepresented an investment and executed unauthorized trades.
Henrique Lucena Background Information
Henrique Lucena has passed the following exams:
- Series 66 Uniform Combined State Law Examination
- Securities Industry Essentials Examination
- Series 7 General Securities Representative Examination
He is a registered broker in six states and is a registered investment adviser in Florida.
Henrique Lucena has worked with the following firms:
- Laidlaw & Company (UK) (CRD #: 119037)
- Laidlaw Wealth Management (CRD #: 150040)
- Morgan Stanley (CRD #: 149777)
- UBS Financial Services (CRD #: 8174)
- ITAU Europa Securities (CRD #: 144769)
Kurta Law Can Help
If you worked with Henrique Lucena and you have concerns about your investments, contact Kurta Law today. Call 877-600-0098 or email email@example.com.