Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carlos Palacios Pazos (Palacios Pazos), previously associated with Efg Capital International, has at least one disclosable event. These events include one customer complaint, alleging that Palacios Pazos recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $48,000.00 on February 20, 2024.
Customer claims that registered representative Carlos Palacios, recommended securities that were not aligned to his investment objectives.\, Customer claims that as a result he incurred losses totaling $48,000.