Securities Arbitration Investment Fraud Lawyers » Investment and Regulatory News » SunTrust Settles FINRA Arbitration Claim Involving Northstar Healthcare

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Luisa Gonzalez (also known as Mercado Luisa Gonzales), of Pittsburgh, Pennsylvania, a stockbroker registered with SunTrust Investment Services Inc., was the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $130,000.00 in damages based upon allegations that Gonzalez made unsuitable recommendations of Northstar Healthcare when Gonzalez was associated with SunTrust Investment Services Inc. Financial Industry Regulatory Authority (FINRA) Arbitration No. 21-01320 (December 23, 2021).

This is not the first time that Gonzalez has been referenced in a customer initiated investment related dispute concerning Gonzalez’s conduct in the securities industry. FINRA Public Disclosure shows that Gonzalez was also referenced in a complaint that was settled on November 13, 2008, for $69,965.70 in damages based upon allegations that Gonzalez made unsuitable recommendations and made omissions of material fact in connection with the sale of variable annuities when Gonzalez was associated with LPL Financial LLC.

Gonzalez was also associated with PNC Investments in Pittsburgh, PA, as an investment advisor representative from April of 2017 to March of 2019, and was associated with PNC Investments in Orlando, FL, as a stockbroker from March of 2017 to March of 2019.

Gonzalez has been associated with The Leaders Group Inc. in Littleton, CO, as a stockbroker since September 2, 2020.