KITTIANY DAVIS BARRIOS of PNC Investments is BARRED

Israels & Neuman, PLC — Sun, 20 Oct 2024 17:54:46 GMT

Kittiany Davis Barrios, Formerly with PNC Investments, Barred from Securities Industry

CRANBURY, NEW JERSEY Are you a former client of financial advisor Kittiany Davis Barrios in Cranbury, New Jersey? Our securities arbitration law firm is looking into claims made against this advisor, who had been a representative of PNC Investments from March 2019 to January 2024. FINRA barred her from the securities industry after she refused to continue cooperating with an investigation.

It was alleged by PNC Investments that she engaged in an undisclosed outside business activity or private securities transaction, which led to her termination. Upon termination, FINRA then began its own investigation into these allegations.

Investment firms are required to properly supervise the conduct of its financial advisors. If the firm fails to do so, they could be liable for investor losses.

VIEW FINRA AWC HERE

VIEW BROKERCHECK REPORT HERE

If you lost money with Kittiany Davis Barrios, or PNC Investments, contact the law firm of ISRAELS & NEUMAN at (616) 280-4303 or (206) 795-5798 for a Free evaluation of your case.

Allegations Against LUISA GONZALEZ Regarding Investment Losses

Israels & Neuman, PLC — Tue, 15 Jun 2021 23:03:16 GMT

Israels & Neuman, PLC Investigates Luisa Gonzalez, Formerly of Suntrust Investment Services

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.