Last Updated: April 2024 (Edinburg, Texas)
Juan Gauna Investigation Summary
Here’s what you need to know about Edniburg, Texas, stockbroker Juan Gauna:
- Name: Mr. Juan Antonio Gauna
- Current Employer: Not Currently Registered
- DBA: Gauna Financial Services
- Previous Firms: NYLife Securities
- Function: Stock Broker/ Financial Advisor
- Aliases: Juan Gauna, Juan Antonio Gauna, Jr.
- Primary Location: Edingurg, Texas
- CRD 4662702
- Can Juan Gauna be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Discharged by a prior employer: Yes
- Highest Settlement or Award: $12,000
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Juan Gauna As Your Stockbroker?
In 2/2024 a customer of NYLife Securities was paid $12,000 to resolve allegations that Juan Gauna asked to be paid $7,000 directly to cover commission charge backs relaed to cancelling certain policies. In addition the customers alleged that an unauthorized loan of $7,000 was taken from a whole life insurance policy in 10/2023.
NYLife Securities discharged Juan Gauna in 1/2024 and makes the following allegation on Gauna’s FINRA record: “Juan Gauna was terminated after the company became aware he executed an unauthorized insurance policy loan transaction and requested and accepted money from another policyholder in violation of company policy. On December 8, 2023 the company filed a fraud report with the Texas Department of Insurance. “
Allegations of Broker Misconduct Against Juan Gauna
A customer of Juan Gauna has alleged the following wrongdoing in connection with the handling of customer accounts:
- Requested direct payment of commission chargebacks
- Unauthorized taken loan from whole life insurance policy
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 Juan Gauna, 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.
