Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alejandro Rodriguez (Rodriguez), previously associated with J.P. Morgan Securities LLC, 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 pending customer complaint on March 21, 2022.
Claimant alleges misrepresentation and suitability regarding offshore annuity investment. Activity dates 08.08.07 – 05.05.17.