RedFlag, Allegation and/or Complaint against EDWARD ONTIVEROS
Disclosure #1 for EDWARD ONTIVEROS
- Event Date: 9/4/1991
- Disclosure Type: Criminal
- Resolution: Final Disposition
- Criminal Charges :: Charges: ONE COUNT, FELONY HS 11352 (SALES OF COCAINE), PLEA OF GUILTY, NO CONTEST,
- Charge Type: FELONY
- Disposition: GRANTED A 1203.4 BY SUPERIOR COURT OF CALIFORNIA, COUNTY OF FRESNO. FILED 11/19/2008.
- Broker Comment: ON OR ABOUT SEPTEMBER 4, 1991, THE FRESNO COUNTY SHERIFF’S DEPARTMENT WAS CONDUCTING AN UNDERCOVER INVESTION AT THE RESIDENCE OF AN AQUANTENCE I WAS VISITING. I WAS UNAWARE OF THE INVESTIGATION UNTIL THE SHERIFF DEPUTIES ATTEMPTED TO CONTACT ME AT MY RESIDENCE. ON SEPTEMBER 20, 1991 I ALONG WITH LEGAL COUNCEL, APPEARED AT THE PARLIER JUSTICE COURT WHERE I WAS ADVISED OF THE CHARGES (HS11352)PLACED AGAINST ME BY THE FRESNO COUNTY SHERIFF’S DEPARTMENT. ON FEBRUARY 6, 1992, I PLEAD GUILTY TO THE ABOVE CHARGES AND WAS PLACED ON 1 YEAR CONDITIONAL PROBATION ALONG WITH 90 DAY INCUSTODY. CUSTODY TIME WAS SUSPENDED ON CONDITIONS I COMPLY WITH PROBATION TERMS.
Should I file a FINRA complaint against brokers like EDWARD ONTIVEROS?
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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Originally posted on November 17, 2022 @ 8:51 pm