Did Marisa Quintero Cause You Investment Losses?
Marisa Quintero of Spring, Texas submitted a Letter of Acceptance, Waiver and Consent to the Financial Industry Regulatory Authority in which she was barred for allegedly failing to comply with FINRA Rule 2010.
In February 2018, Marisa Quintero joined J.P. Morgan Securities and became registered as an Investment Company and Variable Contracts Products Representative. The firm later filed a Uniform Termination Notice (Form U5), disclosing that she was discharged after admitting that she made eight unauthorized withdrawals of approximately $10,000. According to the FINRA findings, Quintero withdrew the funds from a customer’s bank accounts to pay for personal expenses. The findings state that once the customer became aware of the misconduct, Quintero repaid the full amount. Although Marisa Quintero is not currently associated with a FINRA member, she remains subject to FINRA’s jurisdiction.
FINRA Rule 2010 requires representatives of FINRA member firms to “observe high standards of commercial honor and just and equitable principles of trade.” Conversion is a violation of FINRA Rule 2010.
Do You Need a Texas FINRA Securities Arbitration Attorney?
Are you a Spring, Texas investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Spring, Texas stockbroker or investment advisor transfer assets without your authority to the stockbroker or another party, steal, or otherwise commit theft in your investment account? If so, you will need to have representation from an experienced, highly rated, and nationally recognized FINRA arbitration securities law attorney—an attorney who knows FINRA rules and procedures inside and out and how to handle these FINRA arbitration forgery cases and other complex legal issues.
Free Initial Consultation With Experienced Attorneys Handling Securities Account Theft Cases Serving Texas Residents in FINRA Arbitrations
At The Law Offices of Robert Wayne Pearce, P.A. we represent investors in all kinds of securities, commodities, and investment law disputes in FINRA, AAA and JAMS arbitration and mediation proceedings. Attorney Pearce and his staff represent investors throughout Texas, and across the United States on a CONTINGENCY FEE basis which means you pay nothing – NO FEES-NO COSTS – unless we put money in your pocket after receiving a settlement or FINRA arbitration award.
For dedicated representation by Attorney Pearce with over 40 years of experience and success in all kinds of securities, commodities, and investment law disputes serving Texas citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.
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 $140 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.
Rate this Post
Loading...