Jesus Alvidrez, Formerly with TransAmerica Financial Advisors, Barred from Securities Industry
Are you a former customer of Jesus Alvidrez from Brea, California? The securities arbitration law firm of Israels & Neuman is examining allegations made about Jesus Jose Alvidrez. FINRA (the Financial Industry Regulatory Authority) has expelled him from the securities brokerage industry after he failed to respond to an investigation.
FINRA was investigating Alvidrez after he engaged in undisclosed outside business activities without disclosing such to his former brokerage firm, TransAmerica Financial Advisors. FINRA rules require that an advisor disclose any business activities to their respective brokerage firm.
Jesus Jose Alvidrez had been affiliated with TransAmerica Financial Advisors from November 2014 to August 2020. He had also previously been the subject of two tax liens.
According to FINRA Rules, financial advisors and brokerage firms must respond to FINRA investigations. If the advisor or firm fails to respond to the investigation, they can be barred from the securities industry.
Israels & Neuman is a securities arbitration and investment fraud law firm. Our firm represents investors all over the country, including investors in California.
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If you lost money with Jesus Alvidrez or TransAmerica Financial Advisors, please Contact Us at 720-599-3505 for a free evaluation of your case.