Investors potentially experienced sales practice violations because of securities broker George Gomez Sr. [CRD: 2156124, El Paso, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gomez Sr. worked for LPL Financial LLC starting January 19, 2017, and works for Strategic Financial Concepts LLC since September 9, 2019. See the following information to learn more about George Gomez’s disclosures and the allegations involving investor losses.
Notably, on June 7, 2024, an LPL Financial LLC client filed FINRA Arbitration No. 24-01262 about George Gomez Mainly, the client alleged that Gomez Sr. made unsuitable recommendations between 2014 and 2021 regarding certain alternative investments including real estate securities. Because of this, the client allegedly sustained damages. Therefore, the client requested $400,000.00 in compensation from LPL Financial LLC or Gomez Sr. It appears that this arbitration is ongoing.
Also, a client of LPL Financial contested George Gomez’s sales practices, based on a complaint dated March 28, 2013. Allegedly, Gomez Sr. made unsuitable recommendations. Supposedly, Gomez Sr. caused the client to sustain damages on real estate investment trusts. Consequently, the client sought compensation from LPL Financial or Gomez Sr. in the amount of $24,000.00 in this matter. However, the firm denied this complaint.
Did you experience losses because of George Gomez? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney regarding a possible recovery of your losses. Soreide Law Group has helped to recoup losses for clients throughout the United States. Also, the firm takes cases on a contingency fee arrangement and advances all costs. Gomez and brokerage firms Gomez worked for deny accusations of sales practice violations.
Investors might have sustained financial harm through WestPark Capital Inc. [CRD: 39914, Los Angeles, California], according to publicly available information found on Financial Industry Regulatory Authority BrokerCheck. WestPark Capital has been registered with FINRA since 1996 and maintains its headquarters in Los Angeles, California. Keep reading to discover more about the regulatory action involving the […]
Investors might have sustained losses due to securities broker James Fredrick Tighe [CRD: 3129233, Phoenix, Arizona], and Financial Industry Regulatory Authority barred him, based on public information on BrokerCheck. Tighe was associated with Morgan Stanley from June 1, 2009, through January 14, 2025. Continue reading to find out more about Tighe’s regulatory and client dispute […]
Investors potentially experienced sales practice violations by securities broker Sung Moo Cho (also known as Sam Cho) [CRD: 5015906, New York, New York], and FINRA barred him, given the public information found on FINRA BrokerCheck. Cho was associated with Ameriprise Financial Services from January 22, 2021, to October 21, 2025, and Citigroup Global Markets from […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com