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Teresa Gomez Allegedly Altered Client-Signed Documents

May 13, 2022 FINRA Suspension

Teresa Gomez (CRD #: 6100616), a broker formerly registered with UBS Financial Services, has been suspended by FINRA, according to her BrokerCheck record, accessed on May 13, 2021. Investors who have concerns about her conduct as a broker should keep reading.

On March 1, 2022, FINRA suspended Teresa Gomez following allegations that she failed to respond to FINRA requests for information. If she fails to request termination of the suspension within three months, she will automatically be barred.

FINRA Rule 8210

FINRA Rule 8210 requires brokers to provide information with respect to any matter involved in an investigation, complaint, or proceeding.

Violations of Rule 8210 are automatic violations of FINRA Rule 2010, which requires brokers to uphold high standards of commercial honor.

On July 21, 2020, Teresa Gomez was fired by UBS Financial Services following allegations:

  1. Altering client-signed documents by entering information on blank or partially completed documents and then submitting those documents for processing without having the client initial the change.
  2. Engaging in prohibited conduct by providing investment advice on two clients’ 401K accounts held away from UBS.

Background Information

Teresa Gomez has passed the following exams:

  • Series 66 Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 General Securities Representative Examination
  • Series 6 Investment Company Products/ Variable Contracts Representative Examination

Besides UBS Financial Services (CRD #: 8174), Teresa Gomez has also worked for Pruco Securities (CRD #: 5685).

Kurta Law Can Help

If you worked with Teresa Gomez and have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For nearly 20 years, Kurta Law has advocated on behalf of investors recovering their investment losses from stockbrokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors. We work on a contingency basis, which means that the firm only earns a fee if our securities attorneys recover money on your behalf. Reach out and we can tell you what steps to take to restore your lost funds.