DID ALICIA M HINOJOSA GUTIERREZ CAUSE YOU INVESTMENT LOSSES?
Alicia Gutierrez Of Safra Securities LLC And Formerly With Merrill Lynch, Pierce, Fenner & Smith Incorporated Has 2 Customer Complaints For Alleged Broker Misconduct
Who is Alicia Gutierrez of Safra Securities LLC?
Alicia Gutierrez (CRD #2964653) who is currently registered as a broker with Safra Securities LLC and located in New York, New York, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Safra Securities LLC, Alicia Gutierrez was associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Alicia Gutierrez Customer Complaints
Alicia Gutierrez has been the subject of 2 customer complaints that we know about seeking to recover investment losses. Both customer complaints were denied by Merrill Lynch Pierce Fenner and Smith and so far the investors have not taken any further action. However, shortly after the customer complaints were filed, the brokerage firm terminated Alicia Gutierrez’ employment.
Allegations Against Alicia Gutierrez
A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:
- Financial advisor purportedly accepted a loan from a customer in violation of FINRA rules.
- Unauthorized trading.
Alicia Gutierrez Red Flags & Your Rights As An Investor
Of course, Alicia Gutierrez 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 Alicia Gutierrez at Safra Securities LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated on alert to review carefully the activity and performance of their accounts and question whether Alicia Gutierrez has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Safra Securities LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated 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 Safra Securities LLC Due To Alicia Gutierrez
If you have questions about Safra Securities LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated and/or Alicia Gutierrez 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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