DID RICARDO ENRIQUE URRUTIA CAUSE YOU INVESTMENT LOSSES?

Ricardo Urrutia Formerly With Mutual of Omaha Investor Services, Inc. and AKA Advisors, LLC Has 3 Customer Complaints For Alleged Broker Misconduct

Who is Ricardo Urrutia formerly with Mutual of Omaha Investor Services, Inc.?

Ricardo Urrutia (CRD #5719923) who was formerly registered with Mutual of Omaha Investor Services, Inc. and located in Paramus, New Jersey, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Mutual of Omaha Investor Services, Inc., Ricardo Urrutia was associated with AKA Advisors, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Ricardo Urrutia has had his own regulatory problems. In 2020, he was suspended by FINRA indefinitely for failure to comply with an arbitration award and respond to a FINRA inquiry concerning the status of his compliance with that award.

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Ricardo Urrutia Customer Complaints

Ricardo Urrutia has been the subject of 3 other customer complaints that we know about to recover investment losses. All 3 customer complaints were denied and, to date, no further action has been taken.

Allegations Against Ricardo Urrutia

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

• Forgery of client’s initials on an account application.
• Misrepresentation of a variable annuity contract investment.
• Forgery of insurance documents.

Ricardo Urrutia Red Flags & Your Rights As An Investor

Of course, Ricardo Urrutia 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 Ricardo Urrutia at Mutual of Omaha Investor Services, Inc. and AKA Advisors, LLC on alert to review carefully the activity and performance of their accounts and question whether Ricardo Urrutiahas engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Mutual of Omaha Investor Services, Inc. and AKA Advisors, LLC 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 Mutual of Omaha Investor Services, Inc Due To Ricardo Urrutia

If you have questions about Mutual of Omaha Investor Services, Inc., AKA Advisors, LLC and/or Ricardo Urrutia 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.

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 $170 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.

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