DID GUSTAVO SANTOS MIRAMONTES CAUSE YOU INVESTMENT LOSSES?
Gustavo Miramontes Of Oppenheimer & Co. Inc. And Formerly With Wedbush Securities Inc. Has 11 Customer Complaints For Alleged Broker Misconduct
Gustavo Miramontes Customer Complaints
Gustavo Miramontes has been the subject of 11 customer complaints that we know about seeking to recover investment losses. Nine of the customer complaints were settled by Gustavo Miramontes employers in favor of the investors. One customer complaint was denied by ML Stern and Co. and the investor took no further action. There is currently one FINRA arbitration proceeding that was recently filed and still pending against Oppenheimer and Co.4 Gustavo Miramontes alleged misconduct.
Allegations Against Gustavo Miramontes
A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows:
- Breach of fiduciary duty, churning, negligence, negligent misrepresentation, falsifying in Count documentation, unauthorized trading, as well as violations of FINRA rules and state securities laws.
- Negligence, FINRA rule violations, misrepresentations, reach a fiduciary duty, violation of Federal and California or securities laws related to investments in mutual funds.
- Unauthorized trading.
- Unauthorized purchases of bonds.
- Misrepresentation of a bond investment.
- Misrepresentation of income projected in connection with mutual fund investments.
- Unsuitable and unauthorized trading in a customer’s account.
Gustavo Miramontes Red Flags & Your Rights As An Investor
Of course, Gustavo Miramontes 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 Gustavo Miramontes at Oppenheimer & Co. Inc and Wedbush Securities Inc. on alert to review carefully the activity and performance of their accounts and question whether Gustavo Miramontes has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Oppenheimer & Co. Inc and Wedbush Securities Inc. also raises questions about the brokerage firms’ 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 Oppenheimer & Co. Inc Due To Gustavo Miramontes
If you have questions about Oppenheimer & Co. Inc, Wedbush Securities Inc. and/or Gustavo Miramontes 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.