Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on June 12, 2017 indicate that Louisiana-based JW Cole Financial broker Sylvia Perez has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Perez (CRD# 1558521).
Sylvia Perez has spent 30 years in the securities industry and has been registered with JW Cole Financial in Lafayette, Louisiana since 2014. Previous registrations include Dalton Strategic Investment Services in Lafayette, Louisiana; First Midwest Securities in Lafayette, Louisiana; American Investment Services in Oklahoma City, Oklahoma; Locust Street Securities in Des Moines, Iowa; MetLife Securities in Springfield, Massachusetts; and Metropolitan Life Insurance Company in New York, New York. She is a registered broker with three US states: Louisiana, Mississippi, and Texas.
According to her BrokerCheck report, she has received one customer complaint, one pending customer complaint and one regulatory sanction.
In 2017 a customer alleged Sylvia Perez, while employed at JW Cole Financial, recommended an unsuitable purchase of a franchise business. The customer is seeking $232,000 in damages in the pending complaint.
In 2000 the National Association of Securities Dealers sanctioned her following allegations she “made improper use of customer funds.” She was issued a 10-day suspension and a fine of $10,000.
In 1999 a customer alleged Sylvia Perez, while employed at MetLife, forged a client’s signature on two loan request documents. The complaint settled for $14.58.
If you or someone you know has lost money investing with Sylvia Perez, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.