According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rafael Arthur Torres (Arthur Torres), previously associated with Popular Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Arthur Torres recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vanessa Perez Fernandez (Perez Fernandez), currently associated with Popular Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Perez Fernandez recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christian Rickenbach Loubriel (Rickenbach Loubriel), currently associated with Popular Securities, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Rickenbach Loubriel recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Amarilis Santiago Torres (Santiago Torres), currently associated with Popular Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Santiago Torres recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Abimael Rosario Aleman (Rosario Aleman), currently associated with Popular Securities, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Rosario Aleman recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jose Fuentes Rodriguez (Fuentes Rodriguez), currently associated with Popular Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fuentes Rodriguez recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Miguel Correa Cestero (Correa Cestero), currently associated with Popular Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Correa Cestero recommended unsuitable investments in different investment products including debt securities…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tania Perez pineiro (Perez pineiro), currently associated with Popular Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Perez pineiro recommended unsuitable investments in different investment products including debt securities…
This is the second regulatory action that our firm has tracked concerning brokerage firms recommending concentrated positions in Puerto Rico bond funds without having appropriate supervisory system and procedures designed to identify and review concentrated securities purchases in Puerto Rico closed-end funds. As we reported, The Financial Industry Regulatory Authority…
The Financial Industry Regulatory Authority (FINRA) Arbitration Panel has awarded damages to investors in the amount of $1.2 million in compensatory damages and cost of fees associated with the arbitration. The alleged claim was asserted against BBVA Securities of Puerto Rico, Inc. (BBVA Securities) and employees of the brokerage firm. BBVA Securities is…