RedFlag, Allegation and/or Complaint against DAVID MANUEL ESTRELLA
Disclosure #1 for DAVID ESTRELLA
- Event Date: 4/7/2020
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Closed-No Action
- Disclosure Detail :: Allegations: CLIENT ALLEGES ADVISOR PURCHASED ADDITIONAL STOCK FUND POSITIONS AFTER HE SPECIFICALLY REQUESTED HIS ADVISOR TO MINIMIZE HIS STOCK HOLDING EXPOSURE. THIS ACTIVITY OCCURED BETWEEN APRIL 7, 2020 AND APRIL 15, 2020.
- Damage Amount Requested: $20,000.00
- Arbitration Docket Number:
- Broker Comment: AFTER RESEARCH BY THE FIRM, IT WAS DETERMINED THAT THE REPRESENTATIVE’S ACTIONS WERE IN ACCORDANCE WITH THE FIRM’S POLICIES AND PROCEDURES. THERE WAS NO INDICATION OF ANY WRONGDOING BY THE ADVISOR.
Should I file a FINRA complaint against brokers like DAVID MANUEL ESTRELLA?
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.
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