Gilbert Briseno (CRD #: 1939355), an investor registered with Arkadios Capital, has settled his third investor dispute regarding unsuitable investment recommendations, according to his BrokerCheck record, accessed on February 3, 2021.
On November 13, 2020, an investor alleged that Gilbert Briseno recommended unsuitable investments and misrepresented certain securities. The dispute settled for $45,000.
On November 13, 2020, an investor alleged that Gilbert Briseno recommended unsuitable investments. The dispute settled for $30,000.
On February 14, 2020, an investor alleged that Briseno recommended unsuitable products. The dispute settled for $15,000.
Briseno has passed the Series 63 Uniform Securities Agent State Law Examination, the Securities Industry Essentials Examination, the Series 7 General Securities Representative Examination, the Series 62 Corporate Securities Limited Representative Examination, and the Series 6 Investment Company Products/ Variable Contracts Representative Examination. He is a registered broker in Alabama, Georgia, Louisiana, Mississippi, Nevada, Texas, and Washington.
Besides Arkadios Capital, Briseno has worked for the following firms:
- LPL Financial (CRD #: 6413)
- FSC Securities Corporation (CRD #: 7461)
- Intersecurities (CRD #: 16164)
- PW Securities (CRD #: 6775)
- Metropolitan Life Insurance Company (CRD #: 4095)
- Metlife Securities (CRD #: 14251)
If Gilbert Briseno was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta. Call (877) 238-4175 or email firstname.lastname@example.org for a free case consultation with a securities attorney.