Published on:

Jose Gonzalez: Sanctioned Following His Refusal to Provide Documents Requested by FINRA

By

Jose Gonzalez

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 11, 2017 indicate that former Illinois-based American Trust Investment Services broker/adviser Jose Gonzalez has been sanctioned by FINRA and barred from acting as a broker or otherwise associating with firms that sell securities to the public. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Gonzalez (CRD# 1172302).

Jose Gonzalez has spent 32 years in the securities industry and was most recently registered with American Trust Investment Services in Chicago, Illinois (2013-2016). Previous registrations include National Securities in Chicago, Illinois; Raymond James & Associates in St. Petersburg, Florida; Everen Securities in St. Louis, Missouri; Principal Financial Securities in Dallas, Texas; Painewebber in Weehawken, New Jersey; and Merrill Lynch.

According to his BrokerCheck report, he has received five customer complaints and one regulatory sanction.

In April 2017 FINRA sanctioned him following allegations he “refused to provide information and documents as requested by FINRA in connection with an investigation into possible excessive trading in three of Gonzalez’s customers’ accounts.” He was barred from acting as a broker or otherwise associating with firms that sell securities to the public.

In 2011 a customer alleged Jose Gonzalez, while employed at National Securities, executed excessive trades. The complaint settled for $20,000.

In 2001 a customer alleged Jose Gonzalez, while employed at Raymond James & Associates, breached his fiduciary duty, executed unauthorized trades, and made unsuitable recommendations. The complaint settled for more than $334,000.

If you or someone you know has complaints regarding Jose Gonzalez, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on contingency: we only receive payment if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.