{"id":2797,"date":"2016-03-09T00:00:00","date_gmt":"2016-03-09T05:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/california-broker-rick-esparza-borrowed-money-client-permanently-barred-finra\/"},"modified":"2018-10-08T12:39:40","modified_gmt":"2018-10-08T16:39:40","slug":"california-broker-rick-esparza-borrowed-money-client-permanently-barred-finra","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/california-broker-rick-esparza-borrowed-money-client-permanently-barred-finra\/","title":{"rendered":"California Broker Rick Esparza Borrowed Money From Client, Permanently Barred by FINRA"},"content":{"rendered":"<\/p>\n

\"California<\/p>\n

Failure to respond to FINRA\u2019s request regarding customer loan ends securities career.<\/h2>\n

In August 2015, Princor Financial Services Corp. broker Rick Esparza<\/span><\/a> consented to findings he borrowed money from his client. The California broker allegedly made numerous withdrawals from his client\u2019s variable annuity totaling a personal loan of $67,500. When Esparza failed to make timely payments, the client complained.<\/p>\n

As a result, the client was granted $75,000 in settlement damages and, less than a week later, Princor Financial Services Corp. discharged Esparza from its employ.<\/p>\n

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

Failure to respond to FINRA\u2019s request regarding customer loan ends securities career. In August 2015, Princor Financial Services Corp. broker Rick Esparza consented to findings he borrowed money from his client. The California broker allegedly made numerous withdrawals from his client\u2019s variable annuity totaling a personal loan of $67,500. When Esparza failed to make timely […]<\/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":[380],"class_list":["post-2797","post","type-post","status-publish","format-standard","hentry","category-securities-arbitration","tag-rick-esparza-borrowed"],"yoast_head":"\nCalifornia Broker Rick Esparza Borrowed Money From Client, Permanently Barred by FINRA — Securities Arbitration Lawyers Blog — March 9, 2016<\/title>\n<meta name=\"description\" content=\"Check out the new article California Broker Rick Esparza Borrowed Money From Client, Permanently Barred by 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\" 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