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Santiago Hernandez Garcia Allegedly Misrepresented Mutual Fund

Jul 15, 2022 Misrepresentation

Santiago Hernandez Garcia (CRD #: 6362515), a broker registered with Morgan Stanley, allegedly misrepresented facts, according to his BrokerCheck record, accessed on July 6, 2022. If you have questions about Santiago Hernandez Garcia’s conduct as a broker, read on.

Investor Dispute

On March 29, 2022, a client alleged that Santiago Hernandez Garcia misrepresented a mutual fund in July 2021. This dispute was denied by the firm.

However, investors should know that firms can deny disputes without a third-party review. Investors may be able to recoup their losses by seeking out FINRA arbitration following a denial.

FINRA Rule 2020

FINRA Rule 2020 prohibits the use of deceptive and manipulative devices to influence investors’ decisions. This includes the misrepresentation or omission of material facts, such as an investment’s fees, limitations, or potential returns.

Background Information

Santiago Hernandez Garcia has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

Santiago Hernandez Garcia is a registered broker in 19 states and the District of Columbia. He is also a registered investment adviser in Connecticut, New York, and Texas.

He previously worked for J.P. Morgan Securities (CRD#:79).

Kurta Law Can Help

If you worked with Santiago Hernandez Garcia 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.