10.0David P Neuman
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ALERT: Advisor JOHN JARAMILLO SUSPENDED – Westlake Village, CA

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08
Sep

ALERT: Advisor JOHN JARAMILLO SUSPENDED – Westlake Village, CA

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ALERT:  Advisor JOHN JARAMILLO SUSPENDED – Westlake Village, CA

John Jaramillo, formerly with Western International Securities, Suspended by FINRA

Have you lost money with financial advisor John R. Jaramillo?  We are looking into allegations made about John Jaramillo from Westlake Village, California.  FINRA (the Financial Industry Regulatory Authority) suspended Jaramillo from the securities industry for five months and fined $5,000.  FINRA alleged that Jaramillo sold investments in the Woodbridge Group of Companies without disclosing such to his former brokerage firm, Western International Securities.  Woodbridge has gone bankrupt and has injured thousands of investors.

John Jaramillo was a financial advisor and registered representative of Western International Securities from 2008 to March 2020.  He worked in a branch office in Westlake Village, California.

Brokerage firms like Western International Securities 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; Ann Arbor, Michigan; and Phoenix, Arizona.  We represent investors in FINRA arbitration proceedings in all 50 states, including throughout California. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Western International Securities.

IF YOU LOST MONEY WITH JOHN JARAMILLO OR WESTERN INTERNATIONAL SECURITIES, 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.
10.0David P Neuman

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