When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Claimants allege that between 2017 and 2019, the FA advised claimants to invest in an entity which was part of an alleged $35 million Ponzi scheme.
1/28/2025
Customer Dispute
Pending
Allegations
Claimants allege that between 2017 and 2019, the FA advised claimants to invest in an entity which was part of an alleged $35 million Ponzi scheme.
1/23/2025
Customer Dispute
Pending
Allegations
Claimants allege that between 2017 and 2019, the FA advised claimants to invest in an entity which was part of an alleged $35 million Ponzi scheme.
1/23/2025
Customer Dispute
Pending
Allegations
Claimants allege that between 2017 and 2019, the FA advised claimants to invest in an entity which was part of an alleged $35 million Ponzi scheme.
9/9/2024
Customer Dispute
Pending
Allegations
Claimants allege that between 2017 and 2019, the FA advised claimants to invest in an entity which was part of an alleged $35 million Ponzi scheme.
9/9/2024
Customer Dispute
Pending
Allegations
Claimants allege that between 2017 and 2019, the FA advised claimants to invest in an entity which was part of an alleged $35 million Ponzi scheme.
9/15/2023
Customer Dispute
Pending
Allegations
Claimants alleges that from 2017 to 2019, the financial advisor misrepresented investments as part of a Ponzi scheme.
4/22/2022
Customer Dispute
Pending
Allegations
Claimants allege that due to Wells Fargo Advisor's negligence and failure to supervise FA's malpractices, claimants lost millions of dollars.
Damage Amount Requested
$370,050.00
11/2/2021
Regulatory
Final
Initiated By
FINRA
Allegations
Without admitting or denying the findings, Seijas consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA in connection with its investigation concerning the Form U5 amendment filed by his former member firm. The findings stated that the firm filed the amendment to Seijas’ Form U5 disclosing for the first time that he had been named as a defendant in a lawsuit alleging that he had misrepresented investments as part of a Ponzi scheme.
Resolution
Acceptance, Waiver & Consent(AWC)
Bar
Bar (Permanent)
Registration Capacities Affected
All capacities
Duration
Indefinite
Start Date
11/2/2021
5/19/2020
Customer Dispute
Settled
Allegations
Claimant alleges that in or about January 2019, FA recommended investments in a fraudulent hedge fund.
Settlement Amount
$125,000.00
3/18/2020
Customer Dispute
Pending
Allegations
Plaintiff alleges that from August 2017 to December 2019, FA misrepresented investments as part of a Ponzi scheme.
License(s)
The broker is not currently registered with any state or SRO.
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.