Published On: August 10, 2015

Stoltmann Law Offices is investigating Louis Anthony Tinoco Jr., who entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA). Tinoco was registered with Barclays Capital Inc. until July 12, 2013, when he was terminated from the firm due to “sales practice concerns involving certain accounts.” In a complaint against him, Tinoco was accused of engaging in “unsuitable investments and unauthorized trading.” Tinoco allegedly provided a firm customer with a false account summary that concealed trading losses in the account by overstating the value of the customer’s account by more than $200,000. In February 2013, Tinoco provided the customer with a one-page chart that he said reflected the monthly value of the customer’s account. The chart overstated the actual value by more than $200,000. For this he was barred from the securities industry by FINRA.

Tinoco Jr. was registered with GKN Securities Corp in New York, New York from September 1997 until November 1997, Lehman Brothers in New York from October 1998 until July 2003, Atlas One Financial Group in Miami, Florida from July 2003 until April 2005, UBS International Inc. in New York from May 2005 until January 2010, and Barclays Capital in Miami from March 2011 until July 2013. He has three customer disputes against him. He is no longer licensed within the industry. If you invested money with Louis Anthony Tinoco Jr., you may be able to recover your investment losses by suing Barclays. The firm may be liable because they had a duty to reasonably supervise him while he was employed there. Call our securities law firm at 312-332-4200 to speak with one of our attorneys about your options.

Disclaimer

The posting on this site are mere OPINIONS and NOT statements of fact in any way whatsoever. The information should not be relied upon and there have been no findings made against the firms or individuals referenced on this site. In addition, this Blog is made available for educational purposes only and incorporates information from the web as well as to give you general information and a general understanding of the law, not to provide specific legal advice. By using this blog site you understand that there is no attorney client relationship between you and Stoltmann Law Offices (161 N Clark Street 16th Floor Chicago, IL 60601). The Blog opinions should not be used as a substitute for competent legal advice from a licensed professional attorney in your state.

PLEASE NOTE THIS IS ADVERTISING AND IT IS NOT A NEWSPAPER ARTICLE OR POST FROM AN INDEPENDENT OR NON-BIASED, NEWS SITE, NEWS SOURCE OR NEWSPAPER.

Chicago Investment Fraud Attorneys Offering Nationwide Representation to Investors

If you have suffered financial losses because of the negligence or fraud of your financial advisor or broker through unsuitable investment recommendations, over-concentration, churning, misrepresenting risks, conversion or selling away, you have legal rights and options to pursue recovery of those losses.

Stoltman Law Securities and Investment Fraud Attorneys