Articles Tagged with Gustavo Miramontes

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gustavo Miramontes (Miramontes), previously associated with Oppenheimer & Co. Inc., has at least 2 disclosable events. These events include one customer complaint, one regulatory, alleging that Miramontes recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on November 12, 2024.

Respondent Miramontes failed to respond to FINRA requests for information.

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