Horacio Gomez-Rabago Of Oppenheimer & Co. Inc. And Formerly With Morgan Stanley Has 7 Customer Complaints For Alleged Broker Misconduct

Who is Horacio Gomez-Rabago of Oppenheimer & Co. Inc.?

Horacio Gomez-Rabago (CRD #4437037) who is currently registered with Oppenheimer & Co. Inc. and located in Houston, Texas, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Oppenheimer & Co. Inc., Horacio Gomez-Rabago was associated with Morgan Stanley and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Horacio Gomez-Rabago Customer Complaints

Horacio Gomez-Rabago has been the subject of 7 customer complaints that we know about to recover investment losses. One customer complaint was settled by UBS International for $700,000. Another customer complaint was settled by UBS International $125,000 in favor of the investor. Four customer complaints were denied by his employers and, today, those customers have not taken any further action.

Allegations Against Horacio Gomez-Rabago

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Unauthorized trading.
  • Unauthorized trading related to hedge fund and structured products.
  • The financial advisor allegedly changed the customer’s investment profile and engaged in unauthorized trading.
  • Unauthorized trading involving a Unit Investment Trust.
  • Failure to follow instructions with respect to stop loss orders.

Horacio Gomez-Rabago Red Flags & Your Rights As An Investor

Of course, Horacio Gomez-Rabago 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 Horacio Gomez-Rabago and Morgan Stanley on alert to review carefully the activity and performance of their accounts and question whether Horacio Gomez-Rabago has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Oppenheimer & Co. Inc. and Morgan Stanley 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 Horacio Gomez-Rabago

If you have questions about Oppenheimer & Co. Inc., Morgan Stanley and/or Horacio Gomez-Rabago 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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