Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Claudia Ochoa Espejo (Ochoa Espejo), currently associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Ochoa Espejo 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 $119,310.57 on September 24, 2021.
Claimant alleges poor advice with respect to withdrawals from a non-qualified deferred variable annuity and subsequent purchase of a variable life insurance policy.