Erez Law is currently investigating former SII Investments, Inc. broker Pamela Espinosa (CRD# 5865661) regarding unsuitable investment recommendations. She has been registered with Kestra Investment Services, LLC in Albuquerque, New Mexico, since 2017. Previously, he was registered with SII Investments, Inc. in Albuquerque, New Mexico, from 2011 to 2017.
Pamela Espinosa Customer Complaints
She has been the subject of one customer complaint, according to her CRD report:
January 2023. “Claimant alleges Espinosa recommended unsuitable private investments in order to generate high commissions. Additionally claimant alleges that Espinoza engaged in cross trading.” The customer is seeking $1,000,000 in damages, and the case is currently pending. The complaint was regarding direct investments, and it took place while he was registered with SII Investments, Inc.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, SII Investments, Inc. may be liable for investment or other losses suffered by Pamela Espinosa’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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