Claims Against Stock Brokers

Harlem A Valdez (CRD#4930124)

Sean Sweeney -

The Securities Lawyers at Halling & Cayo, S.C. are looking into potential claims against Harlem A Valdez (CRD#4930124) regarding allegations made regarding the following:

Claim(s) Made Against Harlem A Valdez:

Claim Date: 3/18/2020

“Client alleges misrepresentation regarding mutual fund investment. Activity dates 02/19/2020-02/19/2020.”

This claim, as of this posting, is currently Denied with a claim amount of $5,386.50 .

Claim Date: 2/16/2023

“Customer alleges misrepresentation regarding mutual fund investment. Activity dates 10.11.18-10.11.18.”

This claim is currently Denied with a claim amount of $42,937.00 .

Claim Date: 10/19/2022

“Customer alleges unauthorized trading and unsuitable recommendation regarding mutual fund investment. Activity dates 6.1.19 – 11.01.20.”

This claim is currently Pending with a claim amount of $62,000.00 .

See more information on FINRA’s BrokerCheck site for Harlem A Valdez.

Have an issue with Harlem A Valdez?

The Securities Lawyers are researching bringing claims on behalf of individual(s) and/or a group of investors for recovery of their funds. Most customers will have signed a FINRA arbitration agreement to resolve disputes, including claims for reimbursement of these types of investment losses. As the SEC reminds investors, it can be important to find an attorney that “specializes in resolving securities complaints.” If you were a customer of Harlem A Valdez and suffered investment losses, please contact the Securities Lawyers. We only get paid if we recover your money. Your claim may be subject to a time limit or statute of limitations, so contact an attorney right away.

If you had a negative experience or issue with Harlem A Valdez, the Securities Lawyers at Halling & Cayo, S.C. may be able to help you. Brokerage firms have a duty to supervise all registered representatives, such as Harlem A Valdez, and ensure that they follow all securities rules and regulations and internal policies. If a brokerage firm fails to do so, it may be held liable for investment losses sustained by customers.

Contact The Securities Lawyers

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Sean M. Sweeney is a shareholder at Halling and Cayo, a full service law firm in Milwaukee, WI and the head of its Securities Litigation team.

He represents individual and institutional investors in FINRA arbitration and court nationwide. He recovers investment losses from fraud or breach of duty from their broker-dealer.

Contact him at (414) 755-5020 or via e-mail at SMS@hallingcayo.com to see if he can help recover your funds.