Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 27, 2017 indicate that former California-based TransAmerica Financial Advisors broker Roy Gaytan was terminated from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Gaytan (CRD# 5498239).
Roy Gaytan has spent nine years in the securities industry and was most recently registered with TransAmerica Financial Advisors in Thousand Oaks, California (2012-2017). He was previously registered with World Group Securities in Agoura Hills, California (2008-2012). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination); Series 6 (Investment Company Products/Variable Contracts Representative Examination); and Series 26 (Investment Company Products/Variable Contracts Principal Examination). He is currently not registered with any state or firm.
According to his BrokerCheck report, Roy Gaytan was recently discharged from his former employer.
In June 2017 he was terminated from his position at Transamerica Financial Advisors in connection to the following allegations: “Representative acknowledged recommending a customer to establish a brokerage account away from the firm. The Representative proceeded to gain access to the account and executed trades in the account over a period of time. Representative did not have permission from the firm to engage in such activity.”
If you or someone you know has lost money investing with Roy Gaytan, call the experienced attorneys at 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 by law, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.