EDGAR VEGA at NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 5111035
EDGAR VEGA is an Investment Adviser, associated with NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC located at WOODLAND HLS, CA. EDGAR VEGA’s Central Registration Depository (CRD) number is 5111035 and the FINRA Profile can be found at – https://brokercheck.finra.org/individual/summary/5134112.

Disclosure #1 for EDGAR VEGA

    • Event Date: 12/16/2014
    • Disclosure Type: Customer Dispute
    • Resolution: Denied
    • Allegations: [FAMILY MEMBER HAS FILED A COMPLAINT ON BEHALF OF HER MOTHER, [CUSTOMER. ON NOVEMBER 24, 2014, [CUSTOMER SIGNED PAPERWORK TO TRANSFER HER CUSTODIAL IRA WITH MERRILL LYNCH TO NORTHWESTERN MUTUAL. DUE TO THE 6% SURRENDER FEE IN THE AMOUNT OF $10,105.72 CHARGED BY MERRILL LYNCH AND THE FRONT LOAD FEE IN THE AMOUNT OF $7,000 CHARGED BY NORTHWESTERN MUTUAL, [FAMILY MEMBER BELIEVED THE ROLLOVER TO BE UNSUITABLE AND COMMUNICATED THIS TO MR. VEGA ON DECEMBER 2, 2014. HOWEVER, [FAMILY MEMBER ALLEGES THESE INSTRUCTIONS WERE IGNORED AND AN UNAUTHORIZED LIQUIDATION OF HER MOTHER’S CUSTODIAL IRA WITH MERRILL LYNCH OCCURRED MOVING $196,400.84 TO NORTHWESTERN MUTUAL AND CHARGING HER MOTHER WITH A SURRENDER FEE OF $10,105.72. NORTHWESTERN MUTUAL HAS NOT RECEIVED THE FUNDS.
    • Damage Amount Requested: $10,105.72
    • Arbitration Docket Number:
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Should I file a FINRA complaint against brokers like EDGAR VEGA?

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.

Update - 2022.11.15If you have suffered investment losses that may have been caused by EDGAR VEGA’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!

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Frequently Asked Questions About EDGAR VEGA

What is EDGAR VEGA's Central Registration Depository (CRD) Number?

5111035

Which firm is EDGAR VEGA associated with?

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Where is EDGAR VEGA located?

21800 OXNARD ST STE 800, WOODLAND HLS, CA, 91367

Where can I find more details about EDGAR VEGA's Investment Firm?

Visit https://brokercheck.finra.org/firm/summary/2881 to read a detailed report for NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Are there any disclosures, allegations or complaints filed against EDGAR VEGA?

Yes. There are disclosures, allegations, or complaints filed against EDGAR VEGA. Click here to view all details

Where can I download a detailed FINRA report for EDGAR VEGA?

Click here to download a detailed FINRA report for EDGAR VEGA

Is it safe to do business with EDGAR VEGA?

We’re not sure. Please research EDGAR VEGA’s disclosures, allegations and complaints before taking a decision

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