Keliikai Castillo Terminated From UnionBanc Investment Services

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Updated on: September 25, 2023

Investment Losses With Keliikai Seto Ah Mook Castillo in Seattle, WA? Contact KlaymanToskes

National investment loss lawyers KlaymanToskes reports broker/investment advisor Keliikai Castillo a/k/a Keliikai Seto Ah Mook Castillo (CRD# 4858601) has been terminated by UnionBanc Investment Services for alleged violations relating to engaging in private securities transactions and an unreported outside business activity. 

Investors that suffered losses with Keliikai Castillo at UnionBanc Investment Services in Seattle, WA may be entitled to a financial recovery. Contact attorney Lawrence L. Klayman for a free consultation at (888) 997-9956 or lawrence@klaymantoskes.com to discuss your recovery options. We do not collect attorney’s fees unless we obtain a financial recovery for you.

Keliikai Castillo Terminated From UnionBanc:

According to FINRA BrokerCheck, Keliikai Seto Ah Mook Castillo was terminated from UnionBanc Investment Services on July 24, 2023 due to allegations that he violated the firm’s policies and procedures by engaging in an unreported outside business activity and private securities transaction activities. Additionally, according to the disclosure, the firm’s research concluded that the activity had occurred, leading to Castillo’s employment being terminated. 

Investment Losses due to Private Securities Transactions? Contact KlaymanToskes

FINRA Rule 3280 defines a private securities transaction as “any securities transaction outside the regular course or scope of an associated person’s employment with a member.” 

Selling awayin private securities transactions occurs when a broker or investment advisor engages in selling an investment to a customer that is not offered by the executing brokerage firm, and without the approval of his/her brokerage firm. 

When brokers and financial advisers choose to offer their customers securities that are unapproved by their firm, they may be subject to FINRA sanctions. FINRA-regulated brokers and advisors are required to disclose outside business activities to regulators and their firms. Investors can review their broker’s outside business activities by using FINRA’s free Brokercheck tool.

Investors that suffered losses with Keliikai Castillo may have recovery options. Contact attorney Lawrence L. Klayman, Esq., at 888-997-9956 or lawrence@klaymantoskes.com for a free consultation to discuss legal options. We do not collect attorney’s fees unless we are able to obtain a financial recovery for you.

About KlaymanToskes

KlaymanToskes is a leading national securities law firm which practices exclusively in the field of securities arbitration on behalf of retail and institutional investors throughout the world in large and complex securities matters. The firm has recovered over $250 million in FINRA arbitrations and over $350 million in other securities litigation matters. KlaymanToskes has office locations in California, Florida, New York, and Puerto Rico. 


KlaymanToskes, P.A.
Lawrence L. Klayman, Esq.