16
Jan

If You Invested With GUILLERMO VALLADOLID of MORGAN STANLEY, You May Be a Victim of FRAUD

Losses with Paul Zakhary of J.P. Morgan in Ocala, FL

Guillermo Valladolid, formerly with Morgan Stanley, Barred from the Securities Industry

 

Have you lost money with financial advisor Guillermo Valladolid of La Jolla, California?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Guillermo W. Valladolid. FINRA barred Valladolid from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating Valladolid for allegations concerning outside business activities without disclosing such to his brokerage firm, Morgan Stanley.

 

Guillermo Valladolid was a financial advisor and registered representative of Morgan Stanley from April 2015 to August 2017.  He worked at a branch office in La Jolla, California.  Guillermo Valladolid was also previously terminated by Merrill Lynch.

 

Brokerage firms like Morgan Stanley have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

 

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; and Seattle, Washington.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout southern California and in San Diego. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Morgan Stanley.

 

Click to view:  Valladolid, Guillermo FINRA AWC

Click to view:  Valladolid, Guillermo BrokerCheck 1.16.18

 

If you lost money with Guillermo Valladolid or Morgan Stanley, please CONTACT US at 720-599-3505 for a free evaluation of your case.

 

Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency.  Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency.  All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact.  This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice.  Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis.  In contingent representation, clients may still be liable for costs.