According to records provided by the Financial Industry Regulatory Authority (FINRA), New York-based Oppenheimer broker/adviser Patrick “PJ” Esparrago is the subject of allegations that he engaged in churning a customer’s account. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Esparrago (CRD# 2547500).
Patrick “PJ” Esparrago has spent twenty years in the securities industry and has been registered with Oppenheimer & Company in New York, New York since 2002. Previous registrations include Prime Charter in New York, New York (2001-2002); Bluestone Capital Corporation in New York, New York (2001); First Republic Group in New York, New York (2000-2001); Bluestone Capital Partners in New York, New York (1998-2000); Nichols Safina Lerner & Company in New York, New York (1995-1998); and Rickel & Associates in New York, New York (1995). One of his former employers, First Republic Group, has since been expelled by FINRA. Mr. Esparrago is a registered broker and investment adviser in 26 US states.
According to his BrokerCheck report, Patrick “PJ” Esparrago is the subject of two customer complaints and one pending customer complaint.
In March 2015 a customer alleged Patrick “PJ” Esparrago, while employed at Oppenheimer & Company, churned the account, breached his fiduciary duty, and breached contract. The customer is seeking $250,000 in damages in the pending complaint.
In 2002 a customer alleged Patrick “PJ” Esparrago, while employed at First Republic Group, misrepresented and omitted material facts related to an investment. The complaint resulted in an award to the customer of more than $4,100.
In 2000 a customer alleged Patrick “PJ” Esparrago, while employed at Bluestone Capital Partners, executed unauthorized trades and unauthorized margin trades. The complaint settled in 2002 for $9,999.
If you have complaints regarding Patrick “PJ” Esparrago, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recoup your losses. All cases are taken on contingency: we only receive payment if and when you recover money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.