Last Updated: November 2023 (Larkspur, CA)
Gisela Lake Investigation Summary
Here’s what you need to know about Larkspur, CA, stockbroker Gisela Lake:
- Name: Gisela Irmgard Lake
- Current Employer: KW Securities Corp.
- Previous Firms: B.B. Graham & Co., Tessara Financial Advisors (RIA),
- Function: Stock Broker/ Financial Advisor
- Aliases: Gisela Hainold
- Primary Location: Larkspur, CA
- CRD 1121376
- Can Gisesla Lake be sued in FINRA arbitration: Yes
- Sanctioned by securities regulator: Yes
- Highest Settlement or Award: $15,206
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Gisela Lake As Your Stockbroker?
In 2012 a customer of KW Securities was paid $15206 to resolve allegations that Gisesla Lake sold shares of a mutual fund without permission.
B.B. Graham & Co. discharged Gisela Lake in 6/2023 and alleges on her FINRA record: “Failure to supervise by not reporting a customer complaint to the firm and assisting in allowing the complaint to be settled away from the firm.”
Florida securities regulators fined and suspended Gisela Lake in 1989 for violating Florida Statute 517.
Allegations of Broker Misconduct Against Gisela Lake
Customers of Gisesla Lake have alleged the following wrongdoing in connection with the handling of customer accounts:
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 Gisesla Lake, contact us for a complimentary consultation with an experienced 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.
