Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alfonso Duarte Rioseco (Duarte Rioseco), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Duarte Rioseco recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on July 21, 2022.
CLIENT ALLEGES THAT THEIR INSTRUCTIONS TO LIQUIDATE THEIR ACCOUNT IN APRIL 2022 WERE NOT FOLLOWED. DAMAGES UNSPECIFIED