The law firm of Oakes & Fosher is presently investigating the possible misconduct of former securities broker Sebastian Jimenez. According to his publicly available FINRA BrokerCheck report, Sebastian Jimenez has been the subject of a FIRNA sanction.
Sebastian Jimenez was a Florida based securities broker. He worked in the securities industry for eleven years. During his career, he was registered with just two different securities firms. He is no longer working as a registered securities broker in any fashion.
His Registrations
- Merrill Lynch (2005-2006)
- HSBC Securities (2007-2016)
The Allegations
Sebastian Jimenez was officially sanctioned by FINRA in July 2018. The findings in this matter state that he made inaccurate statements to his member firm regarding deposits made by one his customers. This particular individual’s account was subject to enhanced diligence. Sebastian Jimenez was instructed to obtain information regarding deposits into the account. Jimenez allegedly spoke with the customer over his personal phone, which also violated his member firm’s policies. He then, allegedly, knowingly made false statements to the firm in an alleged attempt to hide the true source of the funds being deposited into the customer’s account. Due to these allegations against him, Sebastian Jimenez was barred by FINRA from acting as a securities broker in any fashion.
Oakes & Fosher Can Help
Many investors are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who have lost money in this fashion may actually be entitled to damages.
Oakes & Fosher dedicates its entire legal practice to helping investors across the nation. If you, or someone you know, have lost money investing with Sebastian Jimenez, please contact Oakes & Fosher for a free and private consultation. Oakes & Fosher handles cases on a contingency basis, which means there are no fees charged unless we collect for you.
