Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Guillermo Santiago (Santiago), currently associated with Nationwide Planning Associates INC., has at least one disclosable event. These events include one customer complaint, alleging that Santiago 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 $1,200,000.00 on May 14, 2021.
PERIOD 2004 TO JUL 2013. Alleges concentration, misrepresentation, fraud, breach of fiduciary duty, negligence, violations FINRA rules,PR and federal law.