RedFlags, Allegations and Complaints against MARIO JOHN MORALES
Disclosure #1 for MARIO MORALES
- Event Date: 6/1/2009
- Disclosure Type: Regulatory
- Disclosure Resolution: Final
- Initiated By: COLORADO DIVISION OF INSURANCE
- Allegations: COLORADO DIVISION OF INSURANCE RECEIVED INFORMATION THAT REPRESENTATIVE PLEAD GUILTY ON OR ABOUT MAY 6, 1989 TO ASSAULT 3RD DEGREE, AND FAILED TO DISCLOSE THIS ON HIS CASUALTY, LIFE, AND PROPERTY PRODUCER APPLICATION, DATED JULY 5, 2007, AND ON HIS VARIABLE LINES PRODUCER APPLICATION, DATED APRIL 9, 2009. THE DIVISION STATES THIS MAY BE A VIOLATION OF CO STATE STATUTE 10-2-801(1)(A),(B) AND (I), C.R.S.
- Resolution: Stipulation and Consent
- Sanction Details :: Sanctions: Monetary Penalty other than Fines
- Sanction Details :: Amount: $575.00
Should I file a FINRA complaint against brokers like MARIO JOHN MORALES?
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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