Guillermo William Valladolid Allegedly Improperly Sold Investments Away From His Member Firm
December 29, 2018
Guillermo William Valladolid was a California based securities broker. He worked in the securities industry for six years. During his career, he was registered with two different securities firms. They were Merrill Lynch (2011-2015) and Morgan Stanley (2015-2017). He is no longer working as a registered securities broker in any fashion.
Guillermo William Valladolid's publicly available FINRA BrokerCheck report shows that he was terminated from his position at Morgan Stanley in July 2017. This termination followed allegations that he improperly sold investments away from the firm and did not disclose the outside business activities to the firm. After allegedly failing to provide FINRA with the information they had requested of him during their investigation into the matter, he was barred from acting as a securities broker in any fashion.
Oakes & Fosher dedicates its entire legal practice to helping investors across the nation. If you, or someone you know, have lost money investing with Guillermo William Valladolid, please contact Oakes & Fosher for a free and private consultation.
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