Ralph Villavicencio, formerly of Edward Jones, Barred from Securities Industry
Have you lost money with financial advisor Ralph Villavicencio of Kirkland, Washington? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Ralph Villanueva Villavicencio. FINRA barred Villavicencio from the securities industry after he failed to respond to a FINRA investigation. FINRA was investigating Villavicencio after he was terminated by his former brokerage firm, Edward Jones, for accepting a gift from a customer without seeking prior approval from his firm.
Ralph Villavicencio was a financial advisor and registered representative of Edward Jones from September 2013 to September 2016. He was also affiliated with Allstate Financial from 2000 to June 2013. He worked at a branch office in Kirkland, Washington.
Brokerage firms like Edward Jones have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Bellevue, Washington; Vancouver, Washington; and Denver, Colorado. We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout the Seattle area and the Eastside, including in Kirkland, Bellevue, Redmond, Bothell, Woodinville, Renton, Kent, Issaquah, and many others. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including Edward Jones.
Click to view: Villavicencio, Ralph FINRA AWC
Click to view: Villavicencio, Ralph BrokerCheck 8.3.17
If you lost money with Ralph Villavicencio or Edward Jones, please CONTACT US at 720-599-3505 for a free evaluation of your case.
Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.