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Gustavo Miramontes Of Oppenheimer & Co. Inc. And Formerly With Wedbush Securities Inc. Has 11 Customer Complaints For Alleged Broker Misconduct

Who is Gustavo Miramontes of Oppenheimer & Co. Inc?

Gustavo Miramontes

Gustavo Miramontes (CRD #2338966) who is currently registered as a broker with Oppenheimer & Co. Inc and located in Los Angeles, California, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Oppenheimer & Co. Inc, Gustavo Miramontes was associated with Wedbush Securities Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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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.

Did You Lose Money Because of Broker Misconduct?

best investment fraud lawyers

If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

Need Legal Help? Let’s talk.

or, give us a ring at 561-338-0037.

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.

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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.

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