Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Enrique Lopez del castillo Franco (Lopez del castillo Franco), previously associated with Investment Planners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lopez del castillo Franco 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 $10,000.00 on January 15, 2026.
In November of 2025, client sent a complaint alleging unauthorized trading for $10000 of preferred shares of Prospect Capital. Claim states she notified the advisor after their October 2024 meeting to not place the the preferred stock trade, to which she stated the financial professional confirmed via text message.