Ryan Gonzales Investigation
May 2022-Westminster, CO
The FINRA records of Ryan Gonzales, a broker who was previously with JP Morgan Securities discloses a termination from employment.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In 1/2022, Gonzales voluntarily resigned from employment with JP Morgan. The firm made the following allegation on Gonzales’ FINRA record “Registered Rep failed to improve performance following coaching and marked solicited trades as unsolicited”
Gonzales had been with JP Morgan since October of 2012. Before that time he was with Chase Investment, Banc One Securities and ING Funds.
If you have losses in an account handled by Ryan Gonzales call to learn how you may be entitled to collect damages through FINRA arbitration.
Solicited vs Unsolicited Trade
A solicited trade is a transaction where the broker contacts the customer to commence the transaction, generally meaning that it is the idea of the broker to buy or sell a particular investment. An unsolicited trade is one in which the customer initiates the trade; ie, the customer tells the broker he would like to buy or sell a particular investment.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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