Investors apparently complained about securities broker Lino J. Gutierrez (also known as Joe Gutierrez and Lino M. Gutierrez) [CRD: 5527598, Stuart, Florida], according to public information on FINRA BrokerCheck. Evidently, Gutierrez worked for Merrill Lynch from June 29, 2017, to May 1, 2025, and for Wells Fargo Clearing Services LLC from August 9, 2013, to July 6, 2017. Continue reading to discover more about the disclosures involving Gutierrez.
Notably, on September 17, 2025, a Merrill Lynch client filed FINRA Arbitration No. 25-01976 about Lino Gutierrez. Primarily, the client alleged that Gutierrez made unsuitable recommendations and misrepresentations of material fact. Because of this, the client allegedly sustained damages associated with variable annuities and stocks. Consequently, the client requested $200,000 in compensation from Merrill Lynch or Gutierrez. It appears that this arbitration is pending a resolution.
Notably, a client of Merrill Lynch disputed Lino Gutierrez’s sales practices by filing FINRA Arbitration No. 24-01904 on September 4, 2024. Allegedly, Gutierrez did not act in the client’s best interest in 2020. It appears that Gutierrez caused the client to sustain damages. Therefore, the client seeks compensation from Merrill Lynch or Gutierrez in the amount of $1,000,000 in this ongoing matter.
Do you need clarification on any investment losses relating to Lino Gutierrez? Contact Soreide Law Group online or at (888) 760-6552 and talk with a securities lawyer concerning a potential recovery of your investment losses. For years, Soreide Law Group has recovered losses for investors throughout the United States. Also, the firm takes cases on a contingency fee basis and advances all costs. Gutierrez and brokerage firms Gutierrez worked for deny accusations of sales practice violations.
Investors apparently complained about securities broker Timothy Revell Roberson (also known as Tim Roberson) [CRD: 2200567, Brentwood, Tennessee], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Roberson worked for Merrill Lynch from January 23, 1992, to October 23, 2024, and later joined Stifel Nicolaus on October 21, 2024, where he remains registered. Investors […]
Investors potentially incurred losses because of securities broker Mark Allen Carter [CRD: 6387371, Charlotte, North Carolina], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Carter worked for Pruco Securities LLC from September 8, 2014, through March 25, 2024. Readers should see below to discover more about Carter’s disclosures and regulatory history. FINRA Sanctioned […]
Investors potentially experienced sales practice violations by securities broker Douglas John McCauley (also known as Doug McCauley) [CRD: 1257811, Arlington, Vermont], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Douglas McCauley worked for Madison Avenue Securities LLC from July 16, 2009, to December 31, 2024. Investors should continue reading to find out […]
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