Investors File Disputes About Emilio Guajardo Jr.

Investors have come forward with complaints about securities broker Emilio Guajardo Jr. (CRD:  4871764, The Woodlands, TX). Evidently, the securities broker, who worked for BBT Securities LLC, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, BBT Securities LLC clients allege that Guajardo made misrepresentations. For more on these disclosures about Guajardo, see below; however, keep in mind that the securities broker denies all allegations of misconduct.

Emilio Guajardo Discloses Misrepresentation Allegations By BBT Securities LLC Client

Notably, a client of BBT Securities LLC contested Emilio Guajardo’s sales practices, according to a complaint. Allegedly, Guajardo made misrepresentations. Supposedly, Guajardo caused the client to sustain damages by investing in unit investment trusts. Therefore, BBT Securities LLC opted to settle the matter on August 26, 2022, by compensating the client in the amount of $607,856.

Guajardo Discloses Unsuitable Recommendations Allegations By BBT Securities LLC Client

Additionally, a client of BBT Securities LLC contested Emilio Guajardo’s sales practices by filing FINRA Arbitration: 22-00883 on April 22, 2022. Allegedly, Guajardo made unsuitable recommendations. Supposedly, Guajardo caused the client to sustain damages by investing in unit investment trusts. Therefore, the client seeks compensatory relief from BBT Securities LLC or Guajardo in the amount of $188,000 in this ongoing matter.

BBT Securities LLC Investor Accuses Emilio Guajardo Of Sales Practice Violations

Also, a BBT Securities LLC client filed a complaint about Emilio Guajardo. Namely, the client alleged that Guajardo caused the client to invest in UITs when the client asked for principal protection. Because of this, the client allegedly sustained damages. Therefore, on October 15, 2020, BBT Securities LLC settled this matter by paying the client $267,979.69 in damages.

Guajardo Employment Information

• Guajardo worked for BBT Investment Services Inc. in Charlotte, NC, as a securities broker from September of 2015 to January of 2018.
• Guajardo worked for BBT Securities LLC in Richmond, VA, as a securities broker from January of 2018 to June of 2020.
• Guajardo has worked for Merrill Lynch Pierce Fenner Smith Incorporated in Woodlands, TX, as a financial advisor and securities broker since June 5, 2020.

Did BBT Securities LLC Securities Broker Emilio Guajardo Cause You To Experience Damages?

Have you suffered damages by investing with Emilio Guajardo? You can get in touch with Soreide Law Group at (888) 760-6552 and speak with a securities attorney about a potential recovery of your investment losses. Soreide Law Group, who has effectively recovered money for many investors throughout the United States, can review your situation and explain your legal options. Also, the firm represents clients on a contingency fee basis and advances all costs. Guajardo and brokerage firms Guajardo worked for deny any and all allegations of sales practice violations.