DID RAUL MENDEZ JR CAUSE YOU INVESTMENT LOSSES?
About Raul Mendez Jr of Cetera Investment Services LLC?
Raul Mendez Jr (CRD #3244412) currently serves as a General Securities Representative registered with Cetera Investment Services LLC in Eagle Pass, Texas, since April 8, 2024. His professional journey in the securities industry spans multiple firms across different states. Before his current position, Mendez was associated with Lincoln Financial Securities Corporation in San Antonio, Texas, from December 2016 to April 2024; LPL Financial LLC in Shavano Park, Texas, from April 2007 to January 2017; MetLife Securities Inc. and Metropolitan Life Insurance Company in Eagle Pass, Texas, from April 2004 to April 2007; and initially with Edward Jones in St. Louis, Missouri, from August 1999 to March 2004. Mendez has passed two general industry/product exams—Securities Industry Essentials Examination (SIE) on October 1, 2018, and General Securities Representative Examination (Series 7) on August 13, 1999. He also passed the Uniform Securities Agent State Law Examination (Series 63) on August 11, 1999. He is currently licensed in one U.S. state or territory (Texas) and registered with one self-regulatory organization (FINRA).
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Raul Mendez Jr Customer Complaints and Reviews
Total Disclosures:
- Customer Dispute: 1
- Judgment/Lien: 2
- Customer Dispute (Pending)
- Date Filed: March 18, 2024
- Allegations: Customer alleges that an investment made in 2013 was unsuitable for the customer’s investment objectives and risk tolerance.
- Forum: FINRA
- Docket/Case #: 24-00611
- Judgments/Liens
- Judgment/Lien 1
- Amount: $15,658.01
- Holder: Internal Revenue Service
- Type: Tax
- Filed: September 26, 2019
- Status: Outstanding, with an installment agreement in place.
- Judgment/Lien 2
- Amount: $117,167.04
- Holder: Internal Revenue Service
- Type: Tax
- Filed: March 14, 2019
- Status: Outstanding
Allegations Against Raul Mendez Jr
Criminal Actions, Regulatory Actions, Customer Complaints, Terminations, Financial Disclosures:
- Customer Dispute (Pending)
- Allegations: Unsuitable investment made in 2013, not aligning with the customer’s risk tolerance and investment objectives. Currently pending.
- Docket/Case #: 24-00611
- Forum: FINRA
- Judgments/Liens
- Judgment/Lien 1
- Allegations: Tax liabilities owed to the IRS, currently under an installment agreement.
- Type: Tax Lien
- Amount: $15,658.01
- Judgment/Lien 2
- Allegations: Significant tax liabilities owed to the IRS, unresolved.
- Type: Tax Lien
- Amount: $117,167.04
Raul Mendez Jr Red Flags & Your Rights As An Investor
Of course, Raul Mendez Jr 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 Raul Mendez Jr at Cetera Investment Services LLC on alert to review carefully the activity and performance of their accounts and question whether Raul Mendez Jr has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Investment Services 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 Cetera Investment Services LLC Due To Raul Mendez Jr
If you have questions about Cetera Investment Services LLC and/or Raul Mendez Jr 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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