Emilio Guajardo Jr.

(CRD #4871764, Spring, Texas)

December 23, 2024 – An AWC was issued in which Emilio Guajardo Jr. was assessed a deferred fine of $5,000, suspended from association with any FINRA member in all capacities for three months, and ordered to pay deferred disgorgement of commissions received in the amount of $34,878.29, plus interest. Without admitting or denying the findings, Guajardo consented to the sanctions and to the entry of findings that he overconcentrated customer accounts in a Unit Investment Trust (UIT) that invested only in the energy sector, which was inconsistent with the customers’ investment objectives and risk tolerances. The findings stated that Guajardo obtained commissions totaling $34,878.29 and his recommendations that the customers invest in the UIT resulted in concentrations in the alternative investment, ranging from 22 percent to 99 percent of the customers’ account assets. Guajardo’s member firm entered into settlements with the affected customers. The suspension is in effect from January 6, 2025, through April 5, 2025. (FINRA Case #2022076210801) If you have suffered losses as a result of Emilio Guajardo Jr.'s act and/or actions, we would like to hear from you. We are currently investigating claims on behalf of clients who have suffered significant losses in their portfolios that are managed by Emilio Guajardo Jr.. The Schwartz Law Firm represents investors in claims against financial advisors and their firms. If you have questions about your potential claim or need assistance from an investment fraud lawyer, please contact us at 866-618-0545 or email Matthew Schwartz directly at mschwartz@tslfirm.com.