Jefferies Financial Group Dismisses Miami Advisory Team Amid Alleged Misconduct

Posted on February 14th, 2025 at 4:26 PM
Jefferies Financial Group Dismisses Miami Advisory Team Amid Alleged Misconduct

From the desk of Jim Eccleston at Eccleston Law

Jefferies Financial Group recently terminated a team of Miami-based wealth advisors following allegations of improper money transfers and the use of unauthorized communication methods to conceal the activity. As reported by Financial Advisor News, the dismissals involved senior advisors Marcelo Poliak, Rodrigo Soto, Guillermo Guerra, and Pablo Gherardi, along with several other individuals, according to FINRA filings.

The filings detail accusations of “impermissible money-wire transfers” and “off-channel” communications, some of which reportedly were deleted. Additionally, Nicholas Coubrough, another team member, was dismissed for allegedly soliciting “improper payments” from colleagues in exchange for not exposing their use of inappropriate communication methods.

The incident highlights ongoing challenges faced by Wall Street firms in regulating employee communication, according to Financial Advisor News. Many financial institutions, including Jefferies, have paid substantial penalties for failing to prevent staff from using unauthorized platforms, such as WhatsApp or personal email, for work-related purposes. In 2022, Jefferies agreed to pay $50 million in fines to the Securities and Exchange Commission and an additional $30 million to the Commodity Futures Trading Commission for non-compliance with communication monitoring requirements.

 

Eccleston Law LLC represents investors and financial advisors nationwide in securities, employment, transition, regulatory, and disciplinary matters.

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