{"id":11574,"date":"2024-11-19T15:31:16","date_gmt":"2024-11-19T20:31:16","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=11574"},"modified":"2024-11-19T15:31:16","modified_gmt":"2024-11-19T20:31:16","slug":"broker-ariel-rivero-suspended-fined-15k-after-multiple-wrongdoings","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/broker-ariel-rivero-suspended-fined-15k-after-multiple-wrongdoings\/","title":{"rendered":"Broker Ariel Rivero Suspended, Fined $15K After Multiple Wrongdoings"},"content":{"rendered":"<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft wp-image-11575 size-full\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2024\/11\/Blog-Graphics9.png\" alt=\"Ariel Rivero (CRD# 4236679, a\/k\/a Rivero A Ariel A, Ariel A Rivero Mr.) is a previously registered broker and investment advisor last employed with Insigneo Securities, LLC (CRD# 29249) of Coral Gables, FL. His previous employers include Jefferies LLC (CRD# 2347) and Oppenheimer &amp; Co. Inc. (CRD#:249), both of Miami, and Morgan Stanley (CRD# 149777) of Boca Raton, FL.\u00a0 He has been in the industry since 2000.\n\nRivero was recently suspended for six months and fined $15,000 for multiple violations of firm, FINRA and SEC policies. In its investigation, FINRA found that Rivero was using WhatsApp for firm-related communications with clients, including a conversation with a customer (also his former brother-in-law) that occurred in April of 2021. In that conversation, the customer complained to Rivero about $300,000 in losses he suffered from non-traditional exchange traded funds purchased from Rivero.\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2024\/11\/Blog-Graphics9.png 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2024\/11\/Blog-Graphics9-180x120.png 180w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>Ariel Rivero (CRD# <a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/4236679\" target=\"_blank\">4236679<\/a>, a\/k\/a Rivero A Ariel A, Ariel A Rivero Mr.) is a previously registered broker and investment advisor last employed with Insigneo Securities, LLC (CRD# 29249) of Coral Gables, FL. His previous employers include Jefferies LLC (CRD# 2347) and Oppenheimer &amp; Co. Inc. (CRD#:249), both of Miami, and Morgan Stanley (CRD# 149777) of Boca Raton, FL.\u00a0 He has been in the industry since 2000. <a href=\"https:\/\/www.silverlaw.com\/blog\/broker-ariel-rivero-suspended-fined-15k-after-multiple-wrongdoings\/#more-11574\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Ariel Rivero (CRD# 4236679, a\/k\/a Rivero A Ariel A, Ariel A Rivero Mr.) is a previously registered broker and investment advisor last employed with Insigneo Securities, LLC (CRD# 29249) of Coral Gables, FL. His previous employers include Jefferies LLC (CRD# 2347) and Oppenheimer &amp; Co. Inc. (CRD#:249), both of Miami, and Morgan Stanley (CRD# 149777) [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[580],"tags":[],"class_list":["post-11574","post","type-post","status-publish","format-standard","hentry","category-stockbroker-misconduct"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Broker Ariel Rivero Suspended, Fined After Multiple Wrongdoings<\/title>\n<meta name=\"description\" content=\"Ariel Rivero is a previously registered broker and investment advisor last employed with Insigneo Securities, LLC of Coral Gables, FL.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" 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