DID ARAMIS JON GUERIN CAUSE YOU INVESTMENT LOSSES?
Aramis Guerin Of PHX Financial, Inc. And Formerly With SW Financial, Worden Capital Management LLC and National Securities Corporation Has A Customer Complaint For Alleged Broker Misconduct
About Aramis Guerin of PHX Financial, Inc.?
Aramis Guerin (CRD #6868992) , displays a career path that raises significant red flags for potential investors. Currently associated with PHX Financial, Inc. since September 2022, Guerin’s professional background includes several short stints at various firms, which may indicate instability or dissatisfaction among employers and clients alike. He is registered in 19 U.S. states and territories and has passed three exams: two general industry/product exams and one multi-state securities law exam. Notably, Guerin lacks any principal/supervisory exams, limiting his qualifications for higher-level oversight roles. His brief tenures and the existence of a pending customer dispute complicate his profile, suggesting potential concerns about his reliability and compliance with industry standards.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Amaris Guerin Customer Complaint and Reviews
Aramis J. Guerin faces severe allegations including:
- Unsuitability: Accused of recommending investment products that may not have been aligned with the clients’ financial objectives.
- Excessive Trading/Commissions: Alleged to have engaged in excessive trading to generate higher commissions, which is considered a violation of FINRA’s fair dealing standards.
- Unauthorized Trading: Accused of executing trades without client authorization, a serious breach of client trust and regulatory requirements.
- Negligence: Suggested failure to adhere to the expected standards of care and diligence required in managing client accounts.
These accusations paint a concerning picture of potential sales practice violations if proven true.
Amaris Guerin Red Flags & Your Rights As An Investor
Of course, Amaris Guerin 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 Amaris Guerin at PHX Financial, Inc., SW Financial, Worden Capital Management LLC and National Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether Amaris Guerinhas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at PHX Financial, Inc., SW Financial, Worden Capital Management LLC and National Securities Corporation 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.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At PHX Financial, Inc. Due To Amaris Guerin
If you have questions about PHX Financial, Inc., SW Financial, Worden Capital Management LLC, National Securities Corporation and/or Amaris Guerin 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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