Securities Lawyers Blog
The law offices of Gana Weinstein LLP are currently investigating claims that Broker David Del Rio (Del Rio) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Del Rio was employed by LPL Financial LLC at the time of the activity. If you have been a victim of Del Rio’s alleged misconduct our firm may be able to assist you in recovering funds.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $3,000,000.00 on June 15, 2022.
Claimant alleges that during the approximate time period 2014-2018, representative engaged in selling away and that representative used client funds for his own personal benefit.