{"id":11605,"date":"2024-12-24T10:22:37","date_gmt":"2024-12-24T15:22:37","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=11605"},"modified":"2024-12-24T10:22:37","modified_gmt":"2024-12-24T15:22:37","slug":"finra-suspends-broker-richard-mireles-for-failing-to-respond","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-broker-richard-mireles-for-failing-to-respond\/","title":{"rendered":"FINRA Suspends Broker Richard Mireles For Failing To Respond"},"content":{"rendered":"<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft wp-image-11606 size-full\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2024\/12\/Blog-Graphics5.png\" alt=\"Richard Mireles (Richard Randy Mireles CRD# 5288651) is a currently registered broker and investment advisor with \u00a0Independent Financial Group, LLC (CRD# 7717) of San Diego, CA. He was previously registered with Western Financial Advisors (CRD# 35098), also of San Diego. He has been in the industry since 2007.\n\nIn the disciplinary action, FINRA detailed how from July 2020 and December 2022, despite notifications from lower-level managers, Mireles did not respond or act on \u201cred flags\u201d escalated to him. These red flags were for a registered representative who had traded excessively in five customer accounts during this period. Multiple trades were repeatedly \u201cred-flagged\u201d for this representative. The parameters were designed to notify the firm of solicited trades with high principal amounts.\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2024\/12\/Blog-Graphics5.png 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2024\/12\/Blog-Graphics5-180x120.png 180w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>Richard Mireles (Richard Randy Mireles CRD# <a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/5288651\" target=\"_blank\">5288651<\/a>) is a currently registered broker and investment advisor with \u00a0Independent Financial Group, LLC (CRD# 7717) of San Diego, CA. He was previously registered with Western Financial Advisors (CRD# 35098), also of San Diego. He has been in the industry since 2007. <a href=\"https:\/\/www.silverlaw.com\/blog\/finra-suspends-broker-richard-mireles-for-failing-to-respond\/#more-11605\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Richard Mireles (Richard Randy Mireles CRD# 5288651) is a currently registered broker and investment advisor with \u00a0Independent Financial Group, LLC (CRD# 7717) of San Diego, CA. He was previously registered with Western Financial Advisors (CRD# 35098), also of San Diego. He has been in the industry since 2007. Continue reading \u203a<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[577,580],"tags":[],"class_list":["post-11605","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","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>FINRA Suspends Broker Richard Mireles For Failing To Respond &#8212; Securities Arbitration Lawyers Blog<\/title>\n<meta name=\"description\" content=\"Richard Mireles is a currently registered broker and investment advisor with Independent Financial Group, LLC of San Diego, CA.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/finra-suspends-broker-richard-mireles-for-failing-to-respond\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"FINRA Suspends Broker Richard Mireles For Failing To Respond &#8212; Securities Arbitration Lawyers Blog\" \/>\n<meta name=\"twitter:description\" content=\"Richard Mireles is a currently registered broker and investment advisor with Independent Financial Group, LLC of San Diego, CA.\" \/>\n<meta name=\"twitter:image\" content=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2024\/12\/Blog-Graphics5.png\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Silver Law Group\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"3 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"FINRA Suspends Broker Richard Mireles For Failing To Respond &#8212; Securities Arbitration Lawyers Blog","description":"Richard Mireles is a currently registered broker and investment advisor with Independent Financial Group, LLC of San Diego, CA.","robots":{"index":"index","follow":"follow","max-snippet":"max-snippet:-1","max-image-preview":"max-image-preview:large","max-video-preview":"max-video-preview:-1"},"canonical":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-broker-richard-mireles-for-failing-to-respond\/","twitter_card":"summary_large_image","twitter_title":"FINRA Suspends Broker Richard Mireles For Failing To Respond &#8212; Securities Arbitration Lawyers Blog","twitter_description":"Richard Mireles is a currently registered broker and investment advisor with Independent Financial Group, LLC of San Diego, CA.","twitter_image":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2024\/12\/Blog-Graphics5.png","twitter_misc":{"Written by":"Silver Law Group","Est. reading time":"3 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"Article","@id":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-broker-richard-mireles-for-failing-to-respond\/#article","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-broker-richard-mireles-for-failing-to-respond\/"},"author":{"name":"Silver Law Group","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"headline":"FINRA Suspends Broker Richard Mireles For Failing To Respond","datePublished":"2024-12-24T15:22:37+00:00","mainEntityOfPage":{"@id":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-broker-richard-mireles-for-failing-to-respond\/"},"wordCount":410,"image":{"@id":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-broker-richard-mireles-for-failing-to-respond\/#primaryimage"},"thumbnailUrl":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2024\/12\/Blog-Graphics5.png","articleSection":["FINRA Disciplinary Actions","Stockbroker Misconduct"],"inLanguage":"en-US"},{"@type":"WebPage","@id":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-broker-richard-mireles-for-failing-to-respond\/","url":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-broker-richard-mireles-for-failing-to-respond\/","name":"FINRA Suspends Broker Richard Mireles For Failing To Respond &#8212; 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