Esmeralda Espinoza, Formerly of First Financial Equity, Named in Customer Dispute Alleging Lack of Information

INVESTORS: Former First Financial Equity broker Esmeralda Espinoza was named in a customer dispute alleging that the customer did not fully understand five purchases.

Esmeralda Espinoza (CRD#:6198418) was registered as a broker with First Financial Equity from June until October of 2021. Previously, Espinoza was registered as a broker with NYLife Securities from 2015 until 2021.

Espinoza has one disclosure on her BrokerCheck report. 

October 2021 Customer Dispute

Status: Closed-No Action

Allegations: Customer purchased five separate Variable Universal Life policies with one purchase occurring in September 2019 while the remaining four purchases occurred in March 2021. Customer alleges that all five purchases were not clearly understood by her at the time of sale.

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