| FINRA.org

FINRA Launches Enhanced Investor Education and Protection Tools to Help Research Markets and Recognize Fraud

WASHINGTON—In a continuing effort to empower investors with the tools and knowledge they need to make informed financial decisions and avoid fraud, FINRA announced today the launch of the Market Data and Investments Explorer, as well as enhanced Risk and Scam Meters.

2024084295504 Guillermo Enrique Guerra Romiti CRD 4907302 AWC lp.pdf

From at least January 2018 to October 2024, Guerra engaged in business-related communications outside of Jefferies’ approved communication channels that were not captured or supervised by the firm. By causing Jefferies to maintain incomplete books and records, Guerra violated FINRA Rules 4511 and 2010 and is suspended in all capacities for one month and fined $5,000.
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