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Jorge Maldonado Allegedly Misrepresented Annuities

Jul 8, 2022 Misrepresentation

Jorge Maldonado (CRD #: 4794530), a broker registered with Morgan Stanley, is the subject of an investor dispute, according to his BrokerCheck record, accessed on July 1, 2022. If you want to know more about Jorge Maldonado’s conduct as a broker, read on.

Investor Dispute

On April 7, 2022, an investor filed a dispute alleging Jorge Maldonado misrepresented annuities purchased in 2010. This dispute is pending.

FINRA Rule 2020

FINRA Rule 2020 prohibits brokers from employing manipulative, deceptive, or otherwise fraudulent tactics to influence the purchase and sale of securities. This includes misrepresenting or omitting facts related to investments, such as their potential returns, risks, or limitations.

Background Information

Jorge Maldonado has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 31 – Futures Managed Funds Examination
  • Series 7 – General Securities Representative Examination

Jorge Maldonado is a registered broker in 14 states and a registered investment adviser in Texas.

He has also worked for the following firms:

  • Wells Fargo Advisors (CRD#:19616)
  • A. G. Edwards & Sons (CRD#:4)
  • Merrill Lynch, Pierce, Fenner & Smith (CRD#:7691)

Kurta Law Can Help

If you worked with Jorge Maldonado and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.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 and 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.