Erez Law is currently investigating former SunTrust Investment Services broker Luisa Gonzales (CRD# 2765208), who is alleged to recommend Northstar Financial Services (Bermuda) Ltd., a Bermuda-based annuity and life insurance company that serves the needs of high net worth clients around the globe.
Gonzales has been registered with The Leaders Group, Inc. in Littleton, Colorado since September 2020. Previously, Gonzales was registered with PNC Investments in Orlando, Florida from 2017 to 2019 and with Suntrust Advisory Services, Inc. in Kissimmee, Florida from 2012 to 2017.
Gonzales has been the subject of two customer complaints between 2008 and 2021, according to her CRD report. The most recent complaint was regarding:
May 2021. “Claimant alleges that investment was unsuitable.” The customer is seeking $100,000 in damages and the case is currently pending.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, SunTrust Investment Services may be liable for investment or other losses suffered by Gonzales’ customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.