Luis Sarmiento (CRD#6771118) and CHARLES SCHWAB & CO., INC.

If your broker hurt your retirement, you may be able to recover

If you were a client of this investment advisor, the securities lawyers at Halling & Cayo, S.C. would like to hear from you. We are analyzing potential claims related to the suitability of investments recommended by this broker.

If a customer makes a complaint regarding a broker, it must be reported to the appropriate regulatory bodies, ensuring that a record of the dispute is available to the public.

Claim(s) Made Against Luis Sarmiento:

Claim Date: 3/2/2026

“The client alleges around April 2025, the representative recommended that he converts the annuity to a brokerage account and that created an unexpected tax liability.”

This claim, as of this posting, is currently Denied.

See more information on FINRA’s BrokerCheck site for Luis Sarmiento.

Were you a client of Luis Sarmiento?

The Securities Lawyers have recovered millions of dollars for investors across the United States and represent individuals and groups of investors who have suffered losses.These claims are typically resolved through FINRA Arbitration, as all brokerage firms embed binding arbitration clauses into their customer new account forms. (What is the disadvantage of FINRA arbitration) If you were a customer of Luis Sarmiento and CHARLES SCHWAB & CO., INC. and suffered investment losses, please contact the Securities Lawyers. We will only receive payment if we are able to recover your money, and you may be eligible for financial compensation. It’s important to note that there may be time limits or statutes of limitations that apply to your claim, so it’s crucial to speak with an attorney as soon as possible.
Learn about potential claims for investment recovery, Types of Broker Misconduct and Fraud , or about the FINRA arbitration process, Guide to the FINRA Arbitration Process .

If you had a negative experience or issue with Luis Sarmiento and CHARLES SCHWAB & CO., INC. from Flemington, NJ, 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 Luis Sarmiento, and ensure that they follow all securities rules and regulations and internal policies. Liability for the losses sustained by its customers extends to the Brokerage Firm that the broker was registered with at the time of the breach of his/her standard of care. (We explain in more detail in our video, Do you dare sue your broker?.)

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.

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