Investors apparently complained about securities broker Jesus Quezada [CRD: 5117930, Alhambra, California], according to public information on FINRA BrokerCheck. Evidently, Quezada has been registered with Alexander Capital L.P. since January 3, 2023, and Alexander Capital Wealth Management LLC since January 4, 2023. Previously, he worked for Crown Capital Securities L.P. from February 27, 2017, to December 31, 2022. Continue reading to learn more about Quezada’s reported disclosures.
Particularly, on August 23, 2024, a Crown Capital Securities L.P. client filed FINRA Arbitration No. 24-01826 about Jesus Quezada. The client alleged that Quezada made unsuitable recommendations, failed to supervise, and made misrepresentations and omissions of material fact related to alternative investments. Because of this, the investor allegedly incurred damages linked to direct investments and real estate securities. Therefore, the client requested $100,000 in compensation from Crown Capital Securities L.P. or Quezada. It appears that this arbitration is pending a resolution.
Specifically, a client of Regulus Advisors disputed Jesus Quezada’s sales practices, according to a complaint. Allegedly, Quezada committed elder abuse involving a life insurance policy. It appears that Quezada caused the client to sustain damages. As a result, Regulus Advisors opted to settle the matter on November 17, 2016, by compensating the client in the amount of $36,000.
Are you concerned regarding investments you made with Jesus Quezada? You can contact Soreide Law Group at (888) 760-6552 or online and talk to a securities lawyer concerning a possible recovery of your investment losses. For more than a decade, Soreide Law Group has recovered losses for investors throughout the country. Also, the firm works on a contingency fee arrangement and advances all costs. Quezada and brokerage firms Quezada worked for deny accusations of sales practice violations.
PHILLIP CURTIS ANDERSON (PHILLIP C ANDERSON) was fined $10,000.00, ordered to pay disgorgement of $8,280.00, and was suspended for five months by FINRA. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, the “Regulatory” disclosure dated 5/13/2025 states the following: “Without admitting or denying the findings, Anderson consented to the sanctions and to […]
Soreide Law Group filed a FINRA arbitration on behalf of our client (Claimant) against: WESTERN INTERNATIONAL SECURITIES, INC. (WIS). (Respondent) The Claimant is in his late sixties and lives in California. On or about 2019, the Claimant was invited to a presentation on retirement income by a WESTERN INTERNATIONAL SECURITIES’ former broker. The lawsuit alleges […]
Investors apparently complained about securities broker Charles Kenneth Wareham [CRD: 2193537, Hartford, Connecticut], according to publicly available information on FINRA BrokerCheck. Evidently, Charles Wareham has been registered with Independent Financial Group LLC since March 14, 2014. Readers are encouraged to continue below for details about the disclosures involving Wareham. Independent Financial Group LLC Investor Accused […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com