Allegations by FINRA Against Jose Quinones

Jose Quinones was “permitted to resign” by PFS Investments (also known as Primerica Financial) in December 2024.  In a filing with FINRA, PFS Investments alleged that Quinones “was under internal review for potential involvement with an undisclosed outside business activity, Next Level Holdings, at the time he terminated for failure to renew his securities registration. The representative denied involvement in Next Level Holdings.” 

That filing led FINRA to start its own investigation into the allegations regarding Quinones and Next Level Holdings.  After FINRA sent requests for documents and information to Quinones, he refused to respond, which led to him being barred.

Information on Jose Quinones

From September 2014 to December 2024, Jose Quinones had been a representative of PFS Investments.  He was assigned to a Kissimmee, Florida office. 

Responsibility for Quinones’s Conduct

Generally, financial advisors must disclose all business activities to their brokerage firm, especially if it involves securities or investments.  Failure to disclose outside business activities are often grounds for termination from a firm.  Moreover, firms cannot simply rely on disclosures from advisors – they must adequately supervise the advisor’s conduct.  If the firm fails to do so, it could be responsible for any investor losses.

We Help Investors in Florida

Attorney David Neuman is licensed to practice law in Florida, and we regularly represent Florida investors, including in the greater Orlando area.  If you were a client of Jose Quinones and believe he acted improperly, you may be entitled to recover losses through FINRA arbitration.

• View Jose Quinones FINRA AWC
• View his BrokerCheck Report

Contact Us for a Free Case Evaluation

Call us today at (720) 599-3505 or (206) 795-5798 or fill out our contact form to learn more.

KISSIMMEE, FLORIDA – Have you lost money with financial advisor Luisa Gonzalez, formerly of Suntrust Investment Services and PNC Investments in Kissimmee, Florida? We are looking into allegations made against Luisa Gonzalez, who has been the subject of a customer complaint, which was filed in 2021. The customer alleged that Gonzalez made an unsuitable investment recommendation which caused losses of over $100,000.00.

Luisa Gonzalez was a registered representative of Suntrust Investment Services from 2012 to March 2017. Gonzalez was also with PNC Investments from March 2017 to March 2019 and with The Leaders Group from September 2020 to the present. She has worked at branch offices in Kissimmee, Florida.

Brokerage firms like Suntrust Investment Services and PNC Investments 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; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Florida. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Suntrust Investment Services.

Click to view BrokerCheck: Gonzalez, Luisa BrokerCheck 6.15.21

If you lost money with Luisa Gonzalez or Suntrust Investment Services, contact the Law Firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.