{"id":2731,"date":"2016-08-08T00:00:00","date_gmt":"2016-08-08T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/broker-ricardo-broome-permanently-barred-finra\/"},"modified":"2018-10-08T12:38:59","modified_gmt":"2018-10-08T16:38:59","slug":"broker-ricardo-broome-permanently-barred-finra","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/broker-ricardo-broome-permanently-barred-finra\/","title":{"rendered":"Broker Ricardo Broome Permanently Barred From FINRA"},"content":{"rendered":"<\/p>\n

\"Broker<\/p>\n

Allegations of unauthorized trading and unauthorized use of margin, along with failure to respond, drive FINRA decision<\/h2>\n

Multiple customer disputes and tax liens line Ricardo A. Broome\u2019s FINRA-generated BrokerCheck report<\/span><\/a>. Most recently, allegations against Broome include unauthorized trading<\/span><\/a> and unauthorized use of margin<\/span><\/a>. Damages granted in customer disputes against Broome in his 12 years in the securities industry equal almost $50,000.<\/p>\n

Tax liens and\/or judgments against Broome during the same time period equal almost $40,000. Ultimately, however, Broome failed to respond to a FINRA request for information in late 2015, and as a result, FINRA permanently barred him from acting as a broker or otherwise associating with firms that sell securities to the public.<\/p>\n

Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

Allegations of unauthorized trading and unauthorized use of margin, along with failure to respond, drive FINRA decision Multiple customer disputes and tax liens line Ricardo A. Broome\u2019s FINRA-generated BrokerCheck report. Most recently, allegations against Broome include unauthorized trading and unauthorized use of margin. Damages granted in customer disputes against Broome in his 12 years in […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[599],"tags":[9,334],"class_list":["post-2731","post","type-post","status-publish","format-standard","hentry","category-securities-arbitration","tag-finra","tag-ricardo-broome"],"yoast_head":"\nBroker Ricardo Broome Permanently Barred From FINRA — Securities Arbitration Lawyers Blog — August 8, 2016<\/title>\n<meta name=\"description\" content=\"Check out the new article Broker Ricardo Broome Permanently Barred From FINRA on silverlaw.com\" \/>\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\/broker-ricardo-broome-permanently-barred-finra\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Broker Ricardo Broome Permanently Barred From FINRA — Securities Arbitration Lawyers Blog — August 8, 2016\" \/>\n<meta name=\"twitter:description\" content=\"Check out the new article Broker Ricardo Broome Permanently Barred From FINRA on silverlaw.com\" \/>\n<meta name=\"twitter:image\" content=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Broker-Ricardo-Broome-Permanently-Barred-From-FINRA.jpg\" \/>\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=\"1 minute\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"Broker Ricardo Broome Permanently Barred From FINRA — Securities Arbitration Lawyers Blog — August 8, 2016","description":"Check out the new article Broker Ricardo Broome Permanently Barred From FINRA on silverlaw.com","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\/broker-ricardo-broome-permanently-barred-finra\/","twitter_card":"summary_large_image","twitter_title":"Broker Ricardo Broome Permanently Barred From FINRA — Securities Arbitration Lawyers Blog — August 8, 2016","twitter_description":"Check out the new article Broker Ricardo Broome Permanently Barred From FINRA on silverlaw.com","twitter_image":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Broker-Ricardo-Broome-Permanently-Barred-From-FINRA.jpg","twitter_misc":{"Written by":"Silver Law Group","Est. reading time":"1 minute"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"WebPage","@id":"https:\/\/www.silverlaw.com\/blog\/broker-ricardo-broome-permanently-barred-finra\/","url":"https:\/\/www.silverlaw.com\/blog\/broker-ricardo-broome-permanently-barred-finra\/","name":"Broker Ricardo Broome Permanently Barred From FINRA — Securities Arbitration Lawyers Blog — August 8, 2016","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/#website"},"primaryImageOfPage":{"@id":"https:\/\/www.silverlaw.com\/blog\/broker-ricardo-broome-permanently-barred-finra\/#primaryimage"},"image":{"@id":"https:\/\/www.silverlaw.com\/blog\/broker-ricardo-broome-permanently-barred-finra\/#primaryimage"},"thumbnailUrl":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Broker-Ricardo-Broome-Permanently-Barred-From-FINRA.jpg","datePublished":"2016-08-08T04:00:00+00:00","dateModified":"2018-10-08T16:38:59+00:00","author":{"@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"description":"Check out the new article Broker Ricardo Broome Permanently Barred From FINRA on silverlaw.com","breadcrumb":{"@id":"https:\/\/www.silverlaw.com\/blog\/broker-ricardo-broome-permanently-barred-finra\/#breadcrumb"},"inLanguage":"en-US","potentialAction":[{"@type":"ReadAction","target":["https:\/\/www.silverlaw.com\/blog\/broker-ricardo-broome-permanently-barred-finra\/"]}]},{"@type":"ImageObject","inLanguage":"en-US","@id":"https:\/\/www.silverlaw.com\/blog\/broker-ricardo-broome-permanently-barred-finra\/#primaryimage","url":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Broker-Ricardo-Broome-Permanently-Barred-From-FINRA.jpg","contentUrl":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Broker-Ricardo-Broome-Permanently-Barred-From-FINRA.jpg","width":1697,"height":1131},{"@type":"BreadcrumbList","@id":"https:\/\/www.silverlaw.com\/blog\/broker-ricardo-broome-permanently-barred-finra\/#breadcrumb","itemListElement":[{"@type":"ListItem","position":1,"name":"Home","item":"https:\/\/www.silverlaw.com\/blog\/"},{"@type":"ListItem","position":2,"name":"Broker Ricardo Broome Permanently Barred From FINRA"}]},{"@type":"WebSite","@id":"https:\/\/www.silverlaw.com\/blog\/#website","url":"https:\/\/www.silverlaw.com\/blog\/","name":"Securities Arbitration Lawyers Blog","description":"Published by Securities Arbitration Lawyers \u2014 Silver Law Group","potentialAction":[{"@type":"SearchAction","target":{"@type":"EntryPoint","urlTemplate":"https:\/\/www.silverlaw.com\/blog\/?s={search_term_string}"},"query-input":{"@type":"PropertyValueSpecification","valueRequired":true,"valueName":"search_term_string"}}],"inLanguage":"en-US"},{"@type":"Person","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752","name":"Silver Law Group","image":{"@type":"ImageObject","inLanguage":"en-US","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/image\/","url":"https:\/\/secure.gravatar.com\/avatar\/9eb0a691642ae95c68ee1c45b5f50f35bae76a41f3d9f861c7bfd40c87661746?s=96&d=mm&r=g","contentUrl":"https:\/\/secure.gravatar.com\/avatar\/9eb0a691642ae95c68ee1c45b5f50f35bae76a41f3d9f861c7bfd40c87661746?s=96&d=mm&r=g","caption":"Silver Law Group"}}]}},"jetpack_featured_media_url":"","_links":{"self":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/2731","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/users\/2"}],"replies":[{"embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/comments?post=2731"}],"version-history":[{"count":5,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/2731\/revisions"}],"predecessor-version":[{"id":7009,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/2731\/revisions\/7009"}],"wp:attachment":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/media?parent=2731"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/categories?post=2731"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/tags?post=2731"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}