Last Updated: October 2023 (Miami, FL)
Carlos Estima Investigation Summary
Here’s what you need to know about Miami, FL, stockbroker Carlos Estima:
- Name: Mr. Carlos Alberto Reis Estima
- Current Employer: Insigneo Securities, Insigneo Advisory Services (RIA),
- Previous Firms: EFG Capital International, EFG Bank Santiago, Chile
- Function: Stock Broker/ Financial Advisor/Registered Investment Advisor
- Aliases: Carlos Estima, Carlos Reis Estima
- Primary Location: Miami, FL
- CRD 5626848
- Can Carlos Estima be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Highest Settlement : $600,000
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Carlos Estima As Your Stockbroker?
In 1/2023 a customer of EFG Capital International and Carlos Estima was paid $600,000 to resolve allegations that mishandling the trading of complex options in 2019 – 2020. .
Allegations of Broker Misconduct Against Carlos Estima
A customer of Carlos Estima alleged the following wrongdoing in connection with the handling of customer accounts:
- Failed to provide expected and agreed upon level of service specifically with regards to complex option trading.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Carlos Estima, contact us for a complimentary consultation with an experience securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
