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Wilfredo Miranda Named in Pending Dispute Alleging Failure to Supervise

Dec 5, 2022 Failure to Supervise

Wilfredo Miranda (CRD #: 6207329), a broker registered with Ausdal Financial Partners, is involved in a pending investor dispute, according to his BrokerCheck record, accessed on November 28, 2022. If you have questions about his conduct as a broker, keep reading.

Investor Dispute

On October 10, 2022, an investor named Wilfredo Miranda in a dispute alleging failure to supervise and violations of securities laws. The client seeks $100,000 in this pending dispute.

FINRA Rule 3110

FINRA Rule 3110 requires that firms establish supervisory systems to identify and avoid violations of securities regulations. Among other things, firms must ensure that supervisors have adequate training or experience.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of securities laws often also violate this rule. 

Background Information

Wilfredo Miranda has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

Wilfredo Miranda is a registered broker in Illinois. 

Kurta Law Can Help

If you worked with Wilfredo Miranda and you have concerns about your investments, please contact us today at 877-600-0098 or 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.