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Carlos Getino is the Subject of a Misrepresentation Dispute

Carlos Getino (CRD #: 2156322), a broker registered with LPL Financial, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on May 17, 2024. Keep reading if you have questions regarding his alleged conduct. 

Investor Allegation 

On March 25, 2024, an investor alleged that Carlos Getino misrepresented an investment. Investors should note that this is the third investor dispute on his record. 

Misrepresentation 

FINRA Rule 2020 forbids the use of deceptive, manipulative, and otherwise fraudulent methods to influence the purchase and sale of securities. The misrepresentation or omission of material facts violates this rule.

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of FINRA Rule 2020 also violate this rule. 

Background Information 

Carlos Getino has passed the following exams: 

  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 

He is a registered broker in four states and is a registered investment adviser in California. 

During his 32 years of experience, Carlos Getino has registered with the following firms: 

  • LPL Financial (CRD #: 6413) 
  • Ameriprise Financial Services (CRD #: 6363) 
  • IDS Life Insurance Company (CRD #: 6321) 

Kurta Law Can Help 

If you have worked with Carlos Getino and 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.

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