Eugene Paul Rivera

Eugene Paul Rivera (CRD# 4054915, Registered Representative, Hoboken, New Jersey) submitted a Letter of Acceptance, Waiver, and Consent in which he was fined $10,000 and suspended from association with any member of NASD in any capacity for three months. The fine must be paid before Rivera reassociates with any NASD member following the suspension or before requesting relief from any statutory disqualification. Without admitting or denying the allegations, Rivera consented to the described sanctions and to the entry of findings that he recommended and effected a transaction in the account of a public customer without having a reasonable basis for believing the transaction was suitable based upon the customer's investment objectives, financial situation, and needs. The findings also stated that Rivera signed a public customer's name to a variable annuity surrender request form without the customer's knowledge, authorization, or consent.

Rivera's suspension began July 18, 2005, and will conclude at the close of business October 17, 2005. (NASD Case #C10050054)

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Contact Information

The Law Office of David Liebrader, Inc.


601 S. Rancho Drive, Ste.#D-29
Las Vegas, NV 89106
Phone: 702-380-3131
Fax: 702-380-3102
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