Jimmy Nunez Allegedly Involved in Forgery and False Testimony
Jimmy Nunez (CRD #: 6432136), a previously registered broker with Allstate Financial Services, was recently fined and suspended by FINRA, according to his BrokerCheck record, accessed on March 9, 2022. Investors concerned with his conduct should keep reading.
Jimmy Nunez allegedly forged a customer’s signature on a variable annuity application, an investor profile, and a questionnaire regarding the customer’s purchase. He also allegedly forged the customer’s signature on a new account document. He allegedly did not have the investor’s permission to sign her name or to initial documents for her.
FINRA Rule 4511 requires investors to maintain accurate books and records. Forgery violates this rule.
Later, Jimmy Nunez allegedly provided false written statements and testimony to FINRA during their investigation into his conduct. He allegedly submitted false written statements during December 2020 and false testimony during March 2021, which he then recanted during testimony he provided in April 2021.
As part of the terms of the AWC, Jimmy Nunez consented to a two-year suspension and a $10,000 fine. You can read a copy of the AWC here.
Jimmy Nunez was also fired over the same allegations. On June 29, 2020, Allstate Insurance Company fired him after he allegedly submitted an annuity application with a non-genuine investor signature.
Jimmy Nunez has passed the following exams:
- SIE – Securities Industry Essentials Examination
- Series 6 Investment Company Products/ Variable Contracts Representative Examination
He has only ever registered with Allstate Financial Services (CRD #: 18272).
Kurta Law Can Help
If you have worked with Jimmy Nunez and 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.
For nearly 20 years, Kurta Law has advocated on behalf of investors who have lost money following broker fraud or misconduct. Kurta Law is a nationally recognized law firm and exclusively represents investors on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Our attorneys will work tirelessly to restore your lost funds and get your financial future back on track.