Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Gustavo Miramontes (Miramontes), currently associated with Oppenheimer & Co. Inc., has at least fourteen disclosable events. These events include eleven customer complaints alleging that Miramontes recommended unsuitable investments in different investment products.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $151,477 on September 27, 2023.
Claimant asserts claims for breach of fiduciary duty, churning, negligence, negligent misrepresentation, falsifying account documentation, unauthorized trading as well as violations of FINRA rules and state securities laws. 01/2019 – 06/2023