MARIO JOHN MORALES at ALLSTATE FINANCIAL SERVICES, LLC – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 4723528
MARIO JOHN MORALES is an Investment Adviser, associated with ALLSTATE FINANCIAL SERVICES, LLC located at AURORA, CO. MARIO MORALES’s Central Registration Depository (CRD) number is 4723528 and the FINRA Profile can be found at – https://brokercheck.finra.org/individual/summary/5134112.

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.

Update - 2022.11.15If you have suffered investment losses that may have been caused by MARIO JOHN MORALES’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 MARIO JOHN MORALES

What is MARIO MORALES's Central Registration Depository (CRD) Number?

4723528

Which firm is MARIO JOHN MORALES associated with?

ALLSTATE FINANCIAL SERVICES, LLC

Where is MARIO MORALES located?

14241 E 4TH AVE STE 305, AURORA, CO, 80011-8705

Where can I find more details about MARIO MORALES's Investment Firm?

Visit https://brokercheck.finra.org/firm/summary/18272 to read a detailed report for ALLSTATE FINANCIAL SERVICES, LLC

Are there any disclosures, allegations or complaints filed against MARIO JOHN MORALES?

Yes. There are disclosures, allegations, or complaints filed against MARIO JOHN MORALES. Click here to view all details

Where can I download a detailed FINRA report for MARIO MORALES?

Click here to download a detailed FINRA report for MARIO MORALES

Is it safe to do business with MARIO JOHN MORALES?

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


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