Joe Gutierrez Charged with Healthcare Fraud
Joe Gutierrez (CRD #: 5527598), a broker registered with Merrill Lynch, Pierce, Fenner & Smith, is the subject of pending criminal charges. This disclosure appears on his BrokerCheck record, accessed on November 14, 2023. Keep reading if you have questions about his conduct as a broker.
On August 22, 2023, Joe Gutierrez was charged with “attempt and conspiracy to commit healthcare fraud and wire fraud.” The charges allege he paid kickbacks in connection with a federal healthcare program.
Felonies and certain misdemeanors disqualify individuals from registering as brokers. If Joe Gutierrez is charged with felony fraud, he may not be able to register as a broker for ten years.
Joe Gutierrez 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 28 states and is a registered investment adviser in Florida and Texas.
Joe Gutierrez has registered with the following firms:
- Wells Fargo Clearing Services (CRD #: 19616)
- PNC Investments (CRD #: 129052)
- Chase Investment Services Corp. (CRD #: 25574)
- Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691)
Kurta Law Can Help
If you worked with Joe Gutierrez and have concerns about your investments, please contact us today at 877-600-0098 or email@example.com for a free consultation.
For over 20 years, Kurta Law has advocated on behalf of investors who want 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.