Securities Lawyers Blog
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 among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $100,000.00 on May 25, 2021.
Claimant alleges that Financial Consultant made recommendations to purchase and to hold P.R. Closed-end funds and P.R. Bonds, resulting in an over concentrated and high risk portfolio, which was unsuitable in light of the client’s stated risk tolerance and investment objective.