Close Menu
Free Consultation: 888-976-6111

Gisela Lake: KW Securities Advisor Fired by BB Graham & Company

Larkspur, California financial advisor Gisela Lake (CRD# 1121376) was recently fired by BB Graham & Company in connection with alleged rule violations. Financial Industry Regulatory Authority records show that she is currently registered as a broker with KW Securities Corporation.

Ms. Lake was discharged from her position at BB Graham & Company in June 2023, according to a disclosure on her BrokerCheck report. The disclosure explains that her termination stemmed from allegations that she failed in her supervisory duties “by not reporting a customer complaint to the firm and assisting in allowing the complaint to be settled away from the firm.”

Ms. Lake’s BrokerCheck report also discloses one investor complaint. Filed in 2012, it alleged that as a representative of KW Securities Corporation, she sold mutual fund shares without the customer’s permission. The complaint reached a settlement of $12,506. A statement included with the complaint’s disclosure notes that the transactions were reverse and the customer’s account “was restated for the shares.”

According to the Financial Industry Regulatory Authority, Gisela Lake holds 37 years of securities industry experience. Based in Larkspur, California, she has been a broker with KW Securities Corporation since 1997. Her past registrations include BB Graham & Company (Larkspur, California; 2021-2023), Tessara Financial Advisors (Larkspur, California; 2002-2022), Endeavor Group (Denver, Colorado; 1996-1997), GS2 Securities (Milwaukee, Wisconsin; 1994-1996), Associates Planners Securities Corporation (Boston, Massachusetts (1990-1993), Enex Securities Corporation (1989-1990), US Advisors (1988-1989), Outstanding Investments (1989), and Financial Planners Equity Corporation (1983-1987). Her credentials include the passage of seven securities industry qualifying exams: the General Securities Principal Examination, or Series 24; the Compliance Officer Examination, or Series 14; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Municipal Securities Representative Examination, or Series 52TO; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Investment Adviser Law Examination, or Series 65. She is licensed as a broker in California. (Information current as of June 11, 2023.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.

Facebook Twitter LinkedIn
Contact Us For A Free Case Evaluation
protected by reCAPTCHA Privacy - Terms
Latest Blog Posts
  • Jaime Rios: Regulators Censure, Finr Money Concepts Advisor

    Corpus Christi financial advisor Jaime Rios (CRD# 1747126) was recently sanctioned by securities regulators in connection with alleged rule violations....

    Read More
  • Franz Koch: Unauthorized Trading Complaint Against Wells Fargo Advisor

    Boca Raton financial advisor Franz Koch (CRD# 4467954) allegedly made unauthorized transactions, according to a recent investor complaint. Financial Industry...

    Read More
  • Brian Shevland: FINRA Suspends Bluestone Capital Advisor

    Wayne, Pennsylvania financial advisor Brian Shevland (CRD# 4570496) was recently sanctioned and suspended in connection with alleged misrepresentations. Financial Industry...

    Read More
  • Jorge Menendez: $800K Complaint Against Citi Advisor

    Miami financial advisor Jorge Menendez (CRD# 5138358) recently received an investor complaint alleging that his conduct resulted in six-figure damages....

    Read More
  • Previous
  • Next