Arturo Diego Montenora (also known as Arty Montenora) of Jersey City New Jersey a stockbroker formerly registered with Capital One Investing LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on allegations that Montenora failed to respond to inquiries made by the regulator following disclosures of customer disputes and employment terminations. Case No. 2017054326201 (Sept. 26, 2017).

According to FINRA Public Disclosure, Montenora had initially been suspended by FINRA on July 17, 2017 based on his failure to respond to the regulator. He was provided approximately three months from the date he was notified of the suspension to remedy the issue or otherwise seek termination of the suspension. Montenora neglected to satisfy FINRA’s requirements by the deadline.

FINRA Public Disclosure reveals that Montenora is identified in three customer initiated investment related disputes containing accusations of his violative conduct while employed with WM Financial Services Inc., Capital One Investing and IFMG Securities Inc. Specifically, Montenora is the subject of a customer initiated investment related complaint in which the customer requested more than $5,000.00 in damages supported by allegations of the stockbroker effecting unauthorized trades in the customer’s account.

Another customer filed an investment related complaint regarding Montenora’s conduct where the customer sought more than $5,000.00 in damages based upon accusations that Montenora placed the customer in a municipal bond fund which was not appropriate for the customer and which led the customer to experience unwarranted investment losses. Also, a customer initiated investment related complaint involving Montenora’s conduct was settled on March 15, 2019 to resolve allegations of misrepresentations pertaining to the risks of the customer’s mutual fund investments. FINRA Arbitration No. 18-03172 (Mar. 15, 2019).

Montenora was terminated by Capital One founded on accusations of a customer’s funds having been misappropriated by the stockbroker.

The information contained herein has been obtained from reliable sources however may not be accurate and is not guaranteed by us. Readers are encouraged to undertake their own independent investigation and evaluation of the relevant facts. All claims and allegations are subject to adjudication, decisions may be subject to appeal, and no inference is intended, nor should any inference be made from any information contained herein from any source.

Questions or comments regarding the source or accuracy of any information, including any subsequent developments, should be directed to:  [email protected]

This posting and the information on our website is for general information purposes only. This content should be not considered legal advice, and any responses, comments, e-mails, other communications do not form any attorney client relationship. Attorney Advertisement. See Important Disclaimer.

Guiliano Law Group, P.C.

Our practice is limited to the representation of investors. Over the last three decades, we have recovered more than a hundred million dollars for more than 1,000 injured investors from all over the United States and several foreign countries. We accept representation purely on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a confidential consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.

For more information concerning common claims against stockbrokers and investment professionals, please visit us at

To learn more about FINRA Securities Arbitration, and the legal process, please visit us at

Stockbroker Fraud. Securities Arbitration and Investment Fraud Lawyers.  
National Practice. Contingent Fee. Confidential Free Consultation.

 (877) SEC-ATTY

1700 Market Street, Suite 1005
Philadelphia, PA 19103
Direct: (215) 413-8223
Toll Free: (877) 732-2889

1260 South Soto Street, Suite 7
Los Angeles, California 90023
Direct: (213) 255-3475
Toll Free: (877) 732-2889

2750 NE 185th Street, Suite 302
Aventura, Florida 33180-2877
Direct: (786) 490-2413
Toll Free: (877) 732-2889

See Important Disclaimer


No comments yet.

Leave a Reply

Name (required)

Email (will not be published) (required)