Jesus Quezada Involved in Dispute Alleging Misrepresentation

Jesus Quezada (CRD #: 5117930), a broker registered with Alexander Capital, is involved in an investor dispute, according to his BrokerCheck record, accessed on November 18, 2024. Investors may have also worked with him through Alexander Capital Wealth Management. Read on to learn more about his alleged conduct as a broker.

Investor Dispute

On October 2, 2024, an investor named Jesus Quezada in allegations of failure to supervise, misrepresentation and omission of material facts, and violation of the suitability rule with regard to alternative investments. The client seeks $100,000 in damages in this pending dispute.

FINRA Rule 3110

FINRA Rule 3110 requires that firms establish systems of supervision to maintain their compliance with securities regulations. This includes appointing supervisors and providing them with Written Supervisory Procedures (WSPs).

FINRA Rule 2020

FINRA Rule 2020 forbids the use of manipulative, deceptive, or otherwise fraudulent tactics to influence the purchase and sale of securities. This includes the misrepresentation or omission of material facts relating to an investment’s limitations, requirements, or other features.

FINRA Rule 2111

FINRA Rule 2111 requires brokers to recommend securities that adequately fit an investor’s financial goals. Brokers must take into account the information described in an investor’s profile, such as their tax status, risk tolerance, and other investments.

Investors who rely on brokers for recommendations may be able to recover their losses through FINRA arbitration.

Tax Lien

On April 20, 2017, Jesus Quezada incurred a $29,678.95 tax lien.

Background Information

Jesus Quezada has passed the following exams:

• Series 65 – Uniform Investment Adviser Law Examination
• Series 63 – Uniform Securities Agent State Law Examination
• SIE – Securities Industry Essentials Examination
• Series 7 – General Securities Representative Examination

Jesus Quezada is a registered broker in California and New York. He is also a registered investment adviser in California.

He has also worked for the following firms:

• Crown Capital Securities (CRD#:6312)
• Regal Investment Advisors (CRD#:125004)
• Regulus Advisors (CRD#:150631)
• Bright Owl Investment Advisors (CRD#:168851)
• Centaurus Financial (CRD#:30833)
• Chase Investment Services (CRD#:25574)
• WaMu Investments (CRD#:599)

Kurta Law Can Help

If you worked with Jesus Quezada and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.