RedFlag, Allegation and/or Complaint against Abdiel Felipe Gonzalez
Disclosure #1 for Abdiel Gonzalez
- Event Date: 5/9/2018
- Disclosure Type: Regulatory
- Disclosure Resolution: Final
- Initiated By: FLORIDA DEPARTMENT OF FINANCIAL SERVICES
- Allegations: GROUNDS TO DENY LICENSE WERE BASED ON FAILURE TO UPDATE LIFE INSURANCE APPLICATION, REGARDING A DUI CASE THAT WAS UNDER PENDING COURT TRAIL PRIOR TO APPLY FOR LIFE INSURANCE LICENSE.
- Resolution: Stipulation and Consent
- Sanction Details :: Sanctions: Civil and Administrative Penalty(ies)/Fine(s)
- Sanction Details :: Amount: $1,500.00
- Broker Comment: A SETTLEMENT STUPULATION FOR CONSENT ORDER WAS PROVIDED BY THE FLORIDA FINANCIAL DEPARTMENT PERTAINING TO LIFE LICENSE APPLICATION.
Should I file a FINRA complaint against brokers like Abdiel Felipe Gonzalez?
Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.
Frequently Asked Questions About Abdiel Felipe Gonzalez
What is Abdiel Gonzalez's Central Registration Depository (CRD) Number?
Which firm is Abdiel Felipe Gonzalez associated with?
Where is Abdiel Gonzalez located?
Where can I find more details about Abdiel Gonzalez's Investment Firm?
Are there any disclosures, allegations or complaints filed against Abdiel Felipe Gonzalez?
Where can I download a detailed FINRA report for Abdiel Gonzalez?
Is it safe to do business with Abdiel Felipe Gonzalez?
All information displayed on this page is publicly available information under SEC guidelines, in compliance with 5 U.S.C. § 552 (Freedom of Information Act) and 5 U.S.C. § 552a (the Privacy Act) and is published unmodified, as provided by FINRA. BrokerAudit.com does not modify the data and makes no claims regarding its accuracy, nor will entertain any request to remove any entry. The inclusion of a person or entity in the BrokerAudit Database is not intended to suggest or imply that they have engaged in illegal or improper conduct related to FINRA. BrokerAudit.com intends to offer a platform where suspicious activities can be shared and discussed in a secure environment.