| Read Time: 2 minutes |


Brent Espinoza Of MWA Financial Services And Formerly With TIAA-CREF Individual & Institutional Services Has A Customer Complaint For Alleged Broker Misconduct

Who is Brent Espinoza of MWA Financial Services?

Brent Espinoza (CRD #3267942) who is currently registered with MWA Financial Services and located in Highlands Ranch, Colorado is a subject of one of our many securities industry sales practice abuse investigations.  Prior to MWA Financial Services, Brent Espinoza was associated with TIAA-CREF Individual & Institutional Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Brent Espinoza Customer Complaint

Brent Espinoza has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were Brent Espinoza made an unsuitable recommendation related to an account that was opened. The clients further alleged that the representative indicated funds would be interest free upon withdrawal which they later learned was not accurate. The clients have requested that the account be closed. Brent Espinoza’s customer complaint was settled in favor of the investors.

Brent Espinoza Red Flags & Your Rights As An Investor

Of course, Brent Espinoza did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Brent Espinoza at MWA Financial Services and TIAA-CREF Individual & Institutional Services on alert to review carefully the activity and performance of their accounts and question whether Brent Espinoza has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at MWA Financial Services and TIAA-CREF Individual & Institutional Services also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim To Recover Your Investment Losses At MWA Financial Services Due To Brent Espinoza

If you have questions about MWA Financial Services, TIAA-CREF Individual & Institutional Services, and/or Brent Espinoza and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Author Photo

Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

Rate this Post

1 Star2 Stars3 Stars4 Stars5 Stars