Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Emilio Vazquez (Vazquez), previously associated with Osaic Institutions, INC., has at least one disclosable event. These events include one customer complaint, alleging that Vazquez 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 $100,000.00 on April 13, 2022.
Firm breached written, oral, expressed, and implied terms and conditions of its agreements: warranties; and made false representations.