Maria Acevez Perez Suspended by FINRA
Maria Acevez Perez (CRD #: 2981386), a broker registered with VectorGlobal WMG, has been suspended by FINRA, according to her BrokerCheck record, accessed on April 18, 2023. Investors may have also engaged her services through VectorGlobal IAG. If you want to know more about her alleged conduct as a broker, keep reading.
FINRA Suspension
On March 13, 2023, Maria Acevez Perez consented to the entry of findings that she allegedly failed to respond to FINRA requests for documents and information in a timely manner.
According to a letter of Acceptance, Waiver & Consent (AWC), FINRA allegedly made an information request on September 9, 2021, in connection with an investigation into her disclosed outside business activity and other matters.
Maria Acevez Perez allegedly provided some of the requested information and documents several days late. She allegedly continued to provide incomplete and late responses to FINRA requests.
The AWC concludes that this alleged misconduct constitutes violations of FINRA Rules 8210 and 2010.
FINRA Rule 8210
FINRA Rule 8210 requires members to submit their books and records for inspection and to appear for testimony in connection with FINRA investigations.
FINRA Rule 2010
FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.
Sanctions
Maria Acevez Perez consented to the following sanctions:
- $5,000 fine
- 6-month suspension
Her suspension began on April 3, 2023, and will end on October 2, 2023.
You can read a copy of the AWC here.
Other Business Activities
Maria Acevedo Perez’s detailed BrokerCheck report currently lists one outside business activity: she is the owner of Caiman Contemporary, a business that buys and sells artwork.
Background Information
Maria Acevez Perez has passed the following exams:
- Series 66 – Uniform Combined State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 7 – General Securities Representative Examination
Maria Acevez Perez is not currently a registered broker in any state. She is a registered investment adviser in Florida.
Kurta Law Can Help
If you worked with Maria Acevez Perez and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.
For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.
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