Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 8, 2018 indicate that former Colorado-based Mutual of Omaha Investor Services broker Carol Chiarito was discharged from her former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Chiarito (CRD# 4718887).
Carol Chiarito has spent 13 years in the securities industry and was most recently registered with Mutual of Omaha Investment Services Services in Pueblo, Colorado (2017-2018). Previous registrations include Signator Investors in Pueblo, Colorado (2016-2017); Transamerica Financial Advisors in Pueblo, Colorado (2012-2016); and New England Securities in Colorado Springs, Colorado (2004-2012). She has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which she obtained on March 13, 2007, and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which she obtained on June 5, 2004. She is currently not registered with any state, firm or self-regulatory organization.
According to her BrokerCheck report, she was recently discharged from her former employer in connection to alleged rule violations and she has received one customer complaint that was closed with no action taken.
In February 2018 she was terminated from her position at Mutual of Omaha Investment Services in connection to allegations she violated firm policies and procedures regarding selling investments away from the firm.
In November 2017 a customer alleged Carol Chiarito, while employed at Signator Investors, failed to disclose the downside risk of a private investment. The customer sought $25,000 in damages in the complaint, which was closed with no action taken.
If you have lost money investing with Carol Chiarito, you may be entitled to recoup your losses. Call Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis, which means 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.