Gilbert Briseno Facing an Investor Dispute
Gilbert Briseno (CRD #: 1939355), a broker registered with Arkadios Capital, has a new investor dispute on his record, according to his BrokerCheck, accessed on July 26, 2021.
On June 4, 2021, an investor alleged that Gilbert Briseno made unsuitable recommendations. The investor is seeking $13,000; the dispute is pending. According to FINRA regulations, suitable investments fit the investors’ risk profile and financial goals.
There are three other disputes on Briseno’s record that allege he recommended unsuitable investments. The disputes collectively settled for $90,000.
Gilbert Briseno Background Information
Briseno has passed the following exams:
- Series 63 Uniform Securities Agent State Law Examination
- Securities Industry Essentials Examination
- Series 7 General Securities Representative Examination
- Series 62 Corporate Securities Limited Representative Examination
- Series 6 Investment Company Products / Variable Contracts Representative Examination
He is a registered broker in seven states.
Briseno has worked for the following firms:
- Arkadios Capital (CRD #: 282710)
- LPL Financial (CRD #: 6413)
- FSC Securities Corporation (CRD #: 7461)
- Intersecurities (CRD #: 16164)
- PW Securities (CRD #: 6775)
- Metropolitan Life Insurance Company (CRD #: 4095)
- Metlife Securities (CRD #: 14251)
Kurta Law Can Help
If you worked with Gilbert Briseno and you have concerns about the suitability of your investments, contact Kurta Law today. Call 212-658-1502 or email email@example.com.