Jose R. Gonzalez, formerly of American Trust Investment Services, Barred from Securities Industry
Have you lost money with financial advisor Jose Gonzalez of Chicago, Illinois? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Jose Ramon Gonzalez. FINRA barred Gonzalez from the securities industry after he failed to respond to a FINRA investigation. FINRA was investigating Gonzalez into allegations of possible excessive trading (or churning) in three of his customer’s accounts.
Jose Gonzalez was a financial advisor and registered representative of American Trust Investment Services from November 2013 to October 2016. He also was affiliated with National Securities Corp. from 2003 to November 2013. He worked at a branch office in Chicago, Illinois. Gonzalez has been the subject of at least seven customer complaints, including two complaints that were made for conduct while he was at National Securities Corp. He also filed for bankruptcy in 2009 and has been the subject of several tax liens.
Brokerage firms like American Trust Investment Services 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 Denver, Colorado and the Seattle area. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Illinois and throughout the Chicago area. Attorney David Neuman is licensed to practice law in Illinois, grew up in the western suburbs of Chicago, and represented the rights of investors in Chicago for nearly a decade. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including National Securities Corp.
Click to view: Gonzalez, Jose BrokerCheck 4.27.17
Click to view: Gonzalez, Jose FINRA AWC
If you lost money with Jose Gonzalez, American Trust Investment Services, or National Securities Corp., 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.