Tr?id=566623520170033&ev=PageView&noscript=1

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.

Tags: eccleston, eccleston law

Return to Archive

TESTIMONIALS

Previous
Next
Quotes Bigger

I learned two important things working with Eccleston Law. First, I made a friend and ally with Jim and Steph for life. Secondly, and this is a crucial life lesson - if you need counsel, then seek out the very best. Jim was referred to me by a most trusted source. I've never had to hire an attorney for anything. Now, I know the value of hiring an important partner. Meticulous, thorough and detailed in preparation is the best way to describe Jim. Brilliant too, I might add. Bottom line, I would highly highly recommend Jim and Stephany for your legal needs. One of the best life decisions I've ever made.

Howard S.

LATEST NEWS AND ARTICLES

1774034084 Law
March 20, 2026
McKinsey Forecasts Sweeping Changes for Wealth Management Over the Next Decade

The U.S.

1773930497 Law
March 19, 2026
Stifel Faces Proposed ERISA Class Action Over 401(k) Fund Performance

According to ThinkAdvisor, Stifel Financial now faces a proposed class action lawsuit that accuses the firm of mismanaging its profit sharing 401(k) retirement plan in violation of the Employee Retirement Income Security Act (ERISA).

1773851287 Law
March 18, 2026
LPL and Ameriprise Notify Clients of Cybersecurity Incidents Involving Account Access

LPL Financial and Ameriprise Financial Services recently notified certain clients about separate cybersecurity incidents that exposed private information and, in one case, led to unauthorized trading activity.