Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alan Rodriguez (Rodriguez), currently associated with American Trust Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rodriguez 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 $25,000.00 on July 10, 2021.
Breach of fiduciary duty; Breach of Contract and Negligence; Failure to Supervise