Elizabeth Espinoza Facing Dispute Following Forgery Allegations Regarding a Variable Dispute
Elizabeth Espinoza (CRD #: 6581145), a broker registered with MML Investors Services, is involved in an investor dispute, according to her BrokerCheck record, accessed on November 29, 2021. Keep reading for more details regarding the allegations.
On October 7, 2021, an investor filed a dispute against Elizabeth Espinoza, alleging she committed forgery and misrepresentation. According to the investor, while initiating a fund transfer from his 401k to his existing variable annuity in 2021, she allegedly took part in the forgery of contract papers relating to the transaction. The client further alleged that Elizabeth Espinoza changed the contract after it was signed.
Forgery is the illegal act of making, altering, or using false writing with the intention to commit fraud. It can occur in many forms, including changing dates, forging signatures, or making false statements on legal contracts. This unethical conduct violates FINRA Rule 2010, which states that brokers must uphold high standards of commercial honor.
Elizabeth Espinoza has passed the following exams:
- 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
- Series 24 - General Securities Principal Examination
- Series 26 - Investment Company Products/Variable Contracts Principal Examination
Elizabeth Espinoza is a registered broker in California and Massachusetts.
Besides MML Investors Services, Elizabeth Espinoza has worked with:
- Foresters Financial Services (CRD#:305)
Kurta Law Can Help
If you have worked with Elizabeth Espinoza before and you have concerns about your investments, don't hesitate to contact us today at 877-600-0098 or firstname.lastname@example.org for a free consultation.
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