Arturo Diego Montenora, of Jersey City, New Jersey, a financial advisor formerly registered with Capital One Investing, LLC, was terminated from employment on May 3, 2017, based upon the firm’s allegations that an elderly customer’s monies were potentially misappropriated. The firm apparently detected an account transfer involving funds of the customer into the financial advisor’s bank account, prompting an investigation into Montenora’s wrongdoing.

Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Montenora has been identified in two customer initiated investment related disputes regarding allegations of his misconduct while he was associated with WM Financial Services, Inc. and IFMG Securities, Inc. Specifically, on March 29, 2006, a customer filed an investment related written complaint involving Montenora’s conduct, where the customer requested $7,799.79 in damages based upon allegations that he effected unauthorized debt transactions in the customer’s investment account.

Subsequently, on November 21, 2008, a customer filed an investment related written complaint regarding Montenora’s activities, in which the customer requested $8,465.00 in damages based upon allegations that Montenora effected a municipal bond fund purchase in the customer’s investment account, despite the transaction not having been suitable for the customer.

Since September 29, 1995, Montenora has been associated with fifteen different broker dealers, eight of which have been expelled by securities regulators for violation of federal securities laws or are otherwise defunct.

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