Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brent Espinoza (Espinoza), previously associated with Mwa Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Espinoza recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on March 04, 2020.
The clients allege that the representative made an unsuitable recommendation for an account that was opened in March 2018. The clients further allege 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.