JOSE A. CARBAJAL (CRD# 2691767), a financial advisor from Downey, California, was arrested recently for allegedly stealing $300,000.00 from his elderly clients. Criminal charges have been filed against Carbajal.
Jose Carbajal was charged with three counts of theft from an elderly person exceeding $200,000. Carbajal was arraigned in Los Angeles County Superior Court.
According to the investigation, Carbajal's elderly client began the investigation when she received a large tax bill from the IRS for a money transfer that had not been authorized by her. This investment account was managed by Jose Carbajal.
The investigation uncovered other alleged victims of similar crimes which occurred from May 2009 through March 2013.
According to FINRA's BrokerCheck, JOSE A. CARBAJAL was previously registered with the following FINRA firm(s):
BMA SECURITIES (CRD# 108219) - EL SEGUNDO, CA
10/2013 - 10/2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD# 7691) - LOS ANGELES, CA
10/2009 - 07/2013
BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD# 16361) - DOWNEY, CA
04/2007 - 10/2009
CITICORP INVESTMENT SERVICES (CRD# 23988) - DOWNEY, CA
02/2003 - 04/2007
CAL FED INVESTMENTS (CRD# 19631) - SACRAMENTO, CA
01/1997 - 02/2003
INVEST FINANCIAL CORPORATION (CRD# 12984) - TAMPA, FL
02/1996 - 01/1997
If you or an elderly family member have suffered losses due to your broker/financial advisor, call Soreide Law Group for a free consultation on how to potentially recover those losses: 888-760-6552. We represent clients nationwide before FINRA.
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