Pamela Espinosa Investigation
March 2023- Albuquerque, NM
According to publicly available records, Pamela Sue Espinosa a Kestra Investment Services broker discloses a $1M pending customer dispute.
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 January 2023, FINRA case #22-02866 was filed by a customer of SII Investments, Inc. (the previous employer of Espinosa) alleging that Espinosa recommended unsuitable private investments in order to generate high commissions. The customer also alleges that Espinosa engaged in cross trading. The seeks damages of $1,000,000 in this pending matter.
Espinosa has been employed by Kestra Investment Services since August 2019. Before that time she was with SII Investments. Espinosa discloses business affiliations with Davis Advisory Group in Albuquerqu, NM.
If you have losses in an account handled by Pamela Espinosa, call to learn how you may be able to recover damages through FINRA arbitration.
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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