Soreide Law Group is investigating possible investor claims against Gustavo Santos Miramontes (CRD: 2338966, Los Angeles, California) and his sale of Mullen Automotive Inc. (NASDAQ: MULN), among other securities. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Oppenheimer Co. Inc. Not only that, but clients of Miramontes have reached out to Soreide Law Group who had significant losses in MULN. Here is a brief summary of the FINRA disclosures about Miramontes.
Specifically, a client of Oppenheimer Co. Inc. contested Gustavo Miramontes’ sales practices, according to a complaint. Allegedly, Miramontes provided unsuitable advice and engaged in unauthorized trading. Supposedly, Miramontes caused the client to sustain damages on stocks and mutual funds. Therefore, Oppenheimer Co. Inc. opted to settle the matter on October 14, 2022, by compensating the client in the amount of $8,149.
Evidently, an Oppenheimer Co. Inc. client filed a complaint about Gustavo Miramontes. Namely, the client alleged that Miramontes engaged in unauthorized and unsuitable trading. Because of this, the client allegedly sustained damages on stocks and mutual funds. Therefore, on October 14, 2022, Oppenheimer Co. Inc. settled this matter by paying the client $8,222 in damages.
Particularly, a client of Oppenheimer Co. Inc. contested Gustavo Miramontes’ sales practices, according to a complaint. Allegedly, Miramontes made unsuitable recommendations and engaged in unauthorized trading. Supposedly, Miramontes caused the client to sustain damages on mutual funds and stocks. Therefore, Oppenheimer Co. Inc. opted to settle the matter on October 14, 2022, by compensating the client in the amount of $7,558.
Also, an Oppenheimer Co. Inc. client filed a complaint about Gustavo Miramontes. Namely, the client alleged that Miramontes engaged in unauthorized and unsuitable trading. Because of this, the client allegedly sustained damages on mutual funds and stocks. Therefore, on October 14, 2022, Oppenheimer Co. Inc. settled this matter by paying the client $7,957 in damages.
Specifically, a client of Oppenheimer Co. Inc. contested Gustavo Miramontes’ sales practices, according to a complaint. Allegedly, Miramontes provided unsuitable advice and engaged in unauthorized trading. Supposedly, Miramontes caused the client to sustain damages on stocks and mutual funds. Therefore, Oppenheimer Co. Inc. opted to settle the matter on October 14, 2022, by compensating the client in the amount of $7,981.
Notably, a Wedbush Securities Inc. client filed a complaint about Gustavo Miramontes. Namely, the client alleged that Miramontes made misrepresentations. Because of this, the client allegedly sustained damages on bonds. Therefore, on May 24, 2019, Wedbush Securities Inc. settled this matter by paying the client $24,302.83 in damages.
Miramontes joined Oppenheimer Co. Inc. as a securities broker in August 2018.
Have you sustained damages in Mullen Automotive Inc. (MULN) or other securities due to securities broker Gustavo Miramontes? If you have, contact Soreide Law Group at (888) 760-6552 and speak with a securities lawyer concerning a potential recovery of your investment losses. Soreide Law Group, who has successfully recovered money for investors within all 50 states, represents clients on a contingency fee basis and advances costs. Miramontes and brokerage firms Miramontes worked for deny any and all allegations of sales practice violations.
Robert Averwater (CRD 5614514) is a Memphis, Tennessee broker. FINRA fined him $10,000, suspended him from association with any member firm in all capacities for four months, and required him to complete 10 hours of continuing education, according to an AWC issued August 18, 2026.
Qi Yang (CRD 7439718) is a San Francisco, California broker. FINRA suspended him from association with any member firm in all capacities for six months and assessed a deferred fine of $5,000, according to an AWC issued August 10, 2026.
Thomas Jacobs (CRD 4139430) is a Bay City, Michigan broker. FINRA suspended him from association with any member firm in all capacities for two months and assessed a deferred fine of $2,500, according to an AWC issued August 3, 2026.
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