Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edman Alicea Rodriguez (Alicea Rodriguez), currently associated with Popular Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Alicea Rodriguez recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on January 11, 2021.
Claimant alleged that Financial Consultant investment recommendations to purchase P.R. Securities were unsuitable in light of the clients’ risk profile. Claimants also alleged that recommendations made by the Financial Consultant were outrageous in light of Puerto Rico’s well known deteriorating financial condition.