Soreide Law Group discusses disclosures on Jimmy William Nunez (CRD#: 6432136, Edgewater, New Jersey). Evidently, Nunez worked as a securities broker for Allstate Financial Services from 2015 to 2020. Let’s take a closer look at the allegations of unauthorized transactions as reported on BrokerCheck. But keep in mind that the securities broker denies alleged inappropriate sales practices.
The regulator sanctioned Nunez on January 28, 2022. Specifically, Nunez agreed to pay a fine of $10,000 and serve a suspension of 2 years (February 7, 2022, to February 6, 2024). FINRA contends that the securities broker violated Rule 8210 for false statements and testimony.
Evidently, the firm terminated Nunez as a securities broker on June 29, 2020. Mainly, the securities broker allegedly submitted applications containing false signatures.
Specifically, an Allstate Financial Services client expressed concerns about Jimmy Nunez’s sales practices, as BrokerCheck shows that the client lodged an investment dispute on February 27, 2020. It appears that the securities firm or Nunez caused the client to incur damages because of making investments in a variable annuity. Mainly, the client makes allegations of forged signatures on account documents resulting in an annuity purchase in 2018. The client also alleges that some of the information on their account was not accurate. Consequently, to resolve the client’s allegations of sales practice violations, Allstate Financial Services settled with the client by making a payment to them in the amount of $30,000 on October 28, 2020.
Did you suffer losses because of securities broker Jimmy Nunez? If so, contact Soreide Law Group at (888) 760-6552 to speak with a helpful securities attorney about a potential recovery of your losses. We take cases on a contingency fee basis and advance all costs. The firm has recovered substantial compensation for a lot of US investors who have realized damages from financial advisors or securities brokers. Please note that Nunez denies all accusations of his improper sales practices.
Steven Graham (CRD 1977736) denies the allegations in a pending customer claim filed on August 11, 2026. The disclosure names Western International Securities as the firm, and the claim involves corporate bonds. No arbitrator has ruled on it. His BrokerCheck report also lists a settled bond dispute and a federal court matter from earlier years.
A claim filed on September 11, 2024 names Thomas Hamlin (CRD 2208505) over a 10% Senior Unsecured Note in iCap Fund III. Every disclosure on his BrokerCheck report involves an iCap private placement and names Somerset Securities as the firm. Each one settled, and a settlement is not an admission of wrongdoing.
Peter Po's most recent settlement came on June 28, 2026, when a corporate bond claim settled for $40,000. Po (CRD 3106974) appears in several settled customer disputes over corporate and high-yield bonds. The disclosures name NI Advisors or California Securities as the firm, and each matter ended in a settlement, not a finding.
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