Securities Lawyers Blog
The investment lawyers of Gana Weinstein LLP are investigating the allegations made by The Financial Industry Regulatory Authority (FINRA) resulting in a bar of broker Norman Ferra Jr. (Ferra) who was previously registered with International Assets Advisory, LLC working out of the Tampa, Florida office. Ferra has 20 years of experience in the securities industry and three disclosures on his record.
In March 2017, Ferra was barred after he consented to the sanction and to the entry of findings that he failed to respond to letters requesting that he produce documents and information in connection with an investigation regarding undisclosed outside business activities and private securities transactions. No other disclosure concerning the extent and nature of the activity is disclosed.
However, Ferra has disclosed several outside business activities including his d/b/a Rockport Global Advisors. Ferra has also disclosed entities including EG Advisory LLC It is unclear at this time what entities Ferra’s outside business activities that were the subject of the FINRA bar involve.
