Last Updated: September 2023 (Albuquerque, New Mexico)
Pamela Espinosa Investigation Summary
Here’s what you need to know about Albuquerque, NM, stockbroker Pamela Espinosa:
- Name: Ms. Pamela S. Espinosa
- Current Employer: Kestra Investment Services dba Davis Advisory Group
- Previous Firms: SII Investments
- Function: Stock Broker/ Financial Advisor
- Aliases: Pamela Sue Davis, Pamela Deweber
- Primary Location: Albuquerque, New Mexico
- CRD 5865661
- Can Pamela S. Espinosa be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Discloses Criminal History: Yes
- Pending Customer Dispute Seeks Damages of $1,000,000
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Pamela Espinosa As Your Stockbroker?
In 1/2023 a customer of SII Investments filed a FINRA arbitration alleging that Pamela S. Espinosa recommended unsuitable private investments in order to generate high commissions and that she also engaged in cross trading. Damages of $1 million are sought in this currently pending matter.
Espinosa discloses that in 1993 she pleaded guilty to embezzlement in New Mexico State Court, County of Bernalillo, and received a deferred sentence and placed on probation. She received an early discharge from probation and an order of dismissal in June 1996.
Allegations of Broker Misconduct Against Pamela Espinosa
A customer of Pamela S. Espinosa has alleged the following wrongdoing in connection with the handling of customer accounts:
- Recommended Unsuitable Private Investments in order to generate high commissions.
- Cross Trading
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.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Pamela S. Espinosa, contact us for a complimentary consultation with an experience securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
