Haselkorn & Thibaut, a national investment fraud law firm, has opened an investigation into Yvette Barrera, an investment adviser representative currently registered with Foundations Investment Advisors LLC in New Braunfels, Texas. If you’ve worked with Ms. Barrera or have concerns about your investments, understanding her regulatory history and potential red flags is crucial for protecting your financial interests.
Who is Yvette Barrera?
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Yvette Barrera (CRD #7306089) operates as an investment adviser representative in New Braunfels, Texas. Her current registration with Foundations Investment Advisors LLC represents just one part of her financial services career. Previously, she was affiliated with Texas Financial Advisory (CRD #306413), and she maintains other business activities including affiliations with ID Life and Magellan Insurance.
For investors, understanding your advisor’s background, regulatory history, and any disciplinary actions is essential. Your financial future depends on working with trustworthy professionals who put your interests first.
Regulatory Disclosures and Red Flags
According to FINRA’s BrokerCheck, Yvette Barrera has four disclosures on her record. These disclosures raise important questions that investors should carefully consider:
| Disclosure Type | Date | Details |
|---|---|---|
| Customer Dispute | 10/17/2024 | Allegations: Breach of fiduciary duty, unsuitable recommendations, failure to disclose material facts Claimed Damages: $200,000 Status: Pending |
| Customer Dispute | 09/23/2024 | Allegations: Unsuitable investment recommendations, breach of fiduciary duty Claimed Damages: $150,000 Status: Pending |
| Customer Dispute | 07/12/2024 | Allegations: Misrepresentation, unsuitable investments Claimed Damages: $175,000 Status: Pending |
| Customer Dispute | 03/05/2024 | Allegations: Breach of fiduciary duty, unsuitable recommendations Claimed Damages: $125,000 Status: Pending |
Why These Disclosures Matter to Investors
Four customer disputes within a single year represents a concerning pattern that investors cannot ignore. Here’s why each type of allegation should raise red flags:
Breach of Fiduciary Duty
Investment advisers have a legal obligation to act in their clients’ best interests. When multiple clients allege breach of fiduciary duty, it suggests potential conflicts of interest or prioritizing personal gain over client welfare. This is perhaps the most serious allegation an investment professional can face.
Unsuitable Investment Recommendations
Every investment recommendation should align with your financial goals, risk tolerance, and time horizon. Unsuitable recommendations can devastate retirement plans, college savings, or other crucial financial objectives. The repeated nature of these allegations across multiple disputes is particularly troubling.
Failure to Disclose Material Facts and Misrepresentation
Transparency forms the foundation of any trustworthy advisor-client relationship. Allegations of withholding important information or misrepresenting investments strike at the heart of this trust. Investors have the right to make fully informed decisions about their money.
The Scale of Potential Investor Harm
The combined claimed damages across these four disputes total $650,000. This substantial figure represents real people facing potential financial hardship. Behind each dispute is an investor who trusted their financial future to a professional advisor.
Consider what these amounts might represent:
- Retirement savings accumulated over decades of hard work
- College funds meant to secure children’s education
- Life savings intended for medical expenses or long-term care
- Investment capital needed for income during retirement years
What Should Concerned Investors Do?
If you’ve worked with Yvette Barrera or Foundations Investment Advisors, taking immediate action to protect your interests is essential. Here are critical steps to consider:
1. Review Your Account Statements
Carefully examine all investment transactions, fees, and performance. Look for any investments that seem inconsistent with your stated goals or risk tolerance.
2. Document Everything
Gather all communications, account statements, and investment recommendations. This documentation becomes crucial evidence if you need to pursue recovery of losses.
3. Understand Your Rights
Securities laws provide strong protections for investors. You may have grounds for recovery if you’ve suffered losses due to misconduct, even if you’re unsure about the specific violations.
4. Act Quickly
Investment fraud claims have strict time limitations. Delaying action could forfeit your right to recovery, making prompt consultation with experienced legal counsel critical.
How Haselkorn & Thibaut Can Help
With over 50 years of experience exclusively representing investors, Haselkorn & Thibaut has achieved a 98% success rate in recovering millions for clients nationwide. The firm operates on a contingency basis, meaning no recovery, no fee – you pay nothing unless they successfully recover your losses.
Their experienced attorneys understand the complex regulations governing investment advisers and have the expertise to evaluate whether you have grounds for recovery. They can help you understand:
- Whether your losses resulted from advisor misconduct
- Your options for pursuing recovery through FINRA arbitration
- The strength of your potential claim
- The timeline and process for seeking compensation
Take Action Today
The pattern of disclosures against Yvette Barrera demands serious attention from any investor who has worked with her. Your financial security is too important to leave to chance. If you have concerns about your investments or have suffered losses, professional legal guidance can make the difference between accepting those losses and recovering what you’ve worked so hard to build.
Don’t wait to protect your financial future. Contact Haselkorn & Thibaut today at 1-888-885-7162 for a free, confidential consultation. Their experienced investment fraud attorneys can evaluate your situation and help you understand your options for recovery. Remember, there’s no fee unless they successfully recover your losses.
Your retirement, your family’s security, and your financial peace of mind deserve protection. Take the first step toward recovery today.
