Alberto Hamonet Named in Pending Dispute

Alberto Hamonet (CRD #: 3077774), a broker registered with Merrill Lynch, Pierce, Fenner & Smith, is involved in a pending investor dispute, according to his BrokerCheck record, accessed on February 28, 2023. If you have questions about his alleged conduct as a broker, read on.

Investor Dispute

On December 23, 2022, an investor filed a dispute naming Alberto Hamonet in an allegation of failure to supervise between August 2021 and November 2021. The client seeks $250,000 in damages in this pending dispute.

FINRA Rule 3110

FINRA Rule 3110 requires that firms establish systems of supervision to identify and prevent violations of securities regulations. Firms must appoint supervisors and provide them with Written Supervisory Procedures (WSPs) to follow.

Background Information

Alberto Hamonet has passed the following exams:

• Series 66 – Uniform Combined State Law Examination
• Series 65 – Uniform Investment Adviser Law Examination
• Series 63 – Uniform Securities Agent State Law Examination
• SIE – Securities Industry Essentials Examination
• Series 3 – National Commodity Futures Examination
• Series 7 – General Securities Representative Examination
• Series 10 – General Securities Sales Supervisor – General Module Examination
• Series 9 – General Securities Sales Supervisor – Options Module Examination

Alberto Hamonet is a registered broker in 14 states as well as Puerto Rico and the Virgin Islands. He is also a registered investment adviser in Connecticut, New York, and Texas.

He has also worked for the following firms:

• UBS Financial Services (CRD#:8174)
• UBS International (CRD#:107726)
• UBS PaineWebber (CRD#:8174)
• Prudential Securities (CRD#:7471)
• Citicorp Securities (CRD#:7474)

Kurta Law Can Help

If you worked with Alberto Hamonet and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.