Aramis Perez is the Subject of an Investor Dispute
Aramis Perez (CRD #: 5405685), a broker registered with Wells Fargo Clearing Services, is ths subject of an investor dispute. This is according to his BrokerCheck record, accessed on August 20, 2024. Keep reading if you have questions regarding his alleged conduct.
Investor Allegations
On June 24, 2024, an investor alleged that Aramis Perez assured him that only about half of a stock position would be sold in a rebalancing by a money manager but the full position was sold, causing tax ramifications on capital gains.
The dispute was denied, but investors should know that firms can deny disputes without any external review. Investors can still recover losses following a denial.
High Standards of Commercial Honor
FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Executing securities transactions causing capital gains taxes may violate this rule.
Background Information
Aramis Perez has passed the following exams:
- Series 66 Uniform Combined State Law Examination
- Series 63 Uniform Securities Agent State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 7 General Securities Representative Examination
- Series 6 Investment Company Products / Variable Contracts Representative Examination
He is a registered broker in 14 states and is a registered investment adviser in California.
During his 16 years of experience, Aramis Perez has registered with four firms:
- Wells Fargo Advisors (CRD #: 19616)
- UnionBanc Investment Services (CRD #: 14455)
- Chase Investment Services (CRD #: 25574)
- Pruco Securities (CRD #: 5685)
Kurta Law Can Help
If you worked with Aramis Perez and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation.
For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that 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. Do not let securities fraud go unchecked. Start your recovery process today.