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Carlos Guzman Allegedly Misappropriated Funds

Carlos Guzman (CRD #: 6323925), a broker registered with Merrill Lynch, Pierce, Fenner & Smith, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on June 14, 2024. Keep reading if you have questions regarding his alleged conduct. 

Investor Dispute

On April 30, 2024, an investor alleged that Carlos Guzman misappropriated funds from June 2023 to August 2023. 

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Misappropriation violates this rule. 

Background Information 

Carlos Guzman has passed the following exams:

  • Series 66 Uniform Combined State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination

He is a registered broker in Arizona and California. He is also a registered investment adviser in California and Texas. 

Kurta Law Can Help 

If you have worked with Carlos Guzman 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.