Public records provided by the Financial Industry Regulatory Authority (FINRA) on May 2, 2017 indicate that New York-based Joseph Gunnar & Company broker Robert Estevez is the subject of a pending regulatory complaint. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Estevez (CRD# 3161419).
Robert Estevez has spent 18 years in the securities industry and has been registered with Joseph Gunnar & Company in New York, New York since September 2016. He was previously registered with Investors Capital in Greenwich, Connecticut (2008-2016); Eastbrook Capital Group, which has since been expelled by FINRA, in New York, New York (2001-2008), and Prime Charter in New York, New York (1998-2001). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination) and Series 7 (General Securities Representative Examination). He is a registered broker with 19 US states and territories.
According to his BrokerCheck report, he has been sanctioned by FINRA, is the subject of a pending regulatory complaint, and has received one pending customer complaint.
In January 2017, the Internal Revenue Service filed a tax lien totaling $56,135.37 against Robert Estevez. The lien remains outstanding.
In January 2017, the Internal Revenue Service filed a tax lien totaling $56,646.62 against Robert Estevez. The lien remains outstanding.
In October 2016, he was named in a complaint by the State of Michigan connected to his prior FINRA sanction. The State “intends to deny” his registration in the pending complaint.
In 2016 FINRA sanctioned him following allegations he made unsuitable recommendations involving short-term steepener transactions, resulting in approximately $24,000 in losses. He was suspended for two months and issued a fine of $20,000.
In 2014, a customer alleged Robert Estevez, while employed at Investors Capital, churned the account, over-concentrated investments, misrepresented material facts and made unsuitable recommendations. The customer is seeking $870,000 in damages in the pending complaint.
In 2013, the State of New Hampshire sanctioned him following allegations he participated in telemarketing activities with New Hampshire residents. He was fined $50,000 and agreed to withdraw his registration in the state and not seek licensure for a period of three years.
If you have lost money investing with Robert Estevez, you may be able to recover your losses. Call Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis: Fitapelli Kurta only gets paid if and when you collect funds. 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.