Insigneo Securities

Broker Alberto Valdes in Insigneo Securities, LLC Firm Has Customer Complaint

January 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alberto Valdes (Valdes), currently associated with Insigneo Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Valdes 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 $500,000.00 on September 15, 2021.

Claimant alleges registered representative recommended unsuitable investment. Dates of activity: 8/30/2016 to 6/30/2021.

Broker Felipe Henao Vargas in Insigneo Securities, LLC Firm Has Customer Complaint

January 10, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Felipe Henao Vargas (Henao Vargas), previously associated with Insigneo Securities, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Henao Vargas recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on December 19, 2023.

Without admitting or denying the findings, Henao consented to the sanctions and to the entry of findings that he exercised discretion without written authorization in a customer’s account. The findings stated that Henao exercised discretion in a customer’s account by initiating a substantial short position in a volatile exchange-traded note. After the trade went against his customer, Henao closed out the position. Henao did not have written authorization from the customer, or permission from his member firm, to exercise discretion in the account. Henao aggravated his misconduct by using an unapproved communication channel to exchange messages concerning the trades with a family member of the customer after the fact.

Broker Shmuel Maya in Insigneo Securities, LLC Firm Has Customer Complaint

January 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shmuel Maya (Maya), previously associated with Insigneo Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Maya recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $200,000.00 on November 19, 2025.

Client, through counsel, alleges unsuitable investment recommendations in Managed Account. Activity dates December 6, 2017 to December 6, 2017.

There are Recent Customer Complaints with Broker Antoine Souma in Firm Insigneo Securities, LLC

September 20, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Antoine Souma (Souma) 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 Souma was employed by Insigneo Securities, LLC at the time of the activity. If you have been a victim of Souma’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a final customer complaint on February 21, 2023.

Without admitting or denying the findings, Souma consented to the sanction and to the entry of findings that he refused to produce information and documents requested by FINRA in connection with its investigation into his compliance with FINRA Rule 3280 concerning participation in private securities transactions. The findings stated that FINRA sent an additional request to Souma seeking information and documents in connection with an ongoing customer arbitration filed against him.

There are Recent Customer Complaints with Broker Ariel Rivero in Firm Insigneo Securities, LLC

August 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ariel Rivero (Rivero), previously associated with Insigneo Securities, LLC, has at least 2 disclosable events. These events include 2 regulatory events, alleging that Rivero recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on May 02, 2025.

Respondent Rivero failed to pay fines and/or costs of $9,802.99 in FINRA Case #2021072830601.

Broker Lina Garcia in Insigneo Securities, LLC Firm Has Customer Complaint

August 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lina Garcia (Garcia), previously associated with Insigneo Securities, LLC, has at least one disclosable event. These events include one regulatory event, alleging that Garcia recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on January 29, 2024.

Violation of section 517.161(1)(k), Florida Statutes,\<char_lb_r>\, by being the subject of a Final Judgment and SEC order involving violations of federal securities law.

Broker Patricia Holder in Insigneo Securities, LLC Firm Has Customer Complaint

August 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patricia Holder (Holder), currently associated with Insigneo Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Holder recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on June 27, 2025.

Claimant alleges inter alia, unsuitable investment recommendations and violations of Reg BI with respect to securities-backed line of credit strategy 2014-2024

There are Recent Customer Complaints with Broker Patricia Holder in Firm Insigneo Securities, LLC

July 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patricia Holder (Holder), currently associated with Insigneo Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Holder recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on June 27, 2025.

Claimant alleges inter alia, unsuitable investment recommendations and violations of Reg BI with respect to securities-backed line of credit strategy 2014-2024

Broker Joseph Ciura in Insigneo Securities, LLC Firm Has Customer Complaint

March 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Ciura (Ciura), currently associated with Insigneo Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ciura recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000.00 on October 10, 2024.

Claimants alleging misrepresentation and unsuitability related to a recommendation of an offshore fund.

Ariel Rivero Has Customer Complaints Related to High Risk Investments

September 19, 2022 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Ariel Rivero (Rivero) has at least two disclosable events. These events include two customer complaints alleging that Rivero engaged in some form of investment related misconduct in the handling of the client’s accounts. Rivero is currently employed by Insigneo Securities, LLC (Insigneo). Rivero’s customer complaints alleges that Rivero recommended unsuitable investments in different investment products including options, ETFs, and private placements that include LMS Investments LLC and Octagon, S.A.

In April 2022 a customer complained that Rivero violated the securities laws by alleging that Rivero breached their fiduciary duties by recommending, failing to supervise the recommendation of, and misrepresenting the risks and facts related to two unsuitable outside investments. The investor alleged damages of $999,999 and the claim is currently pending.

In September 2021 a customer complained that Rivero violated the securities laws by alleging that Rivero breached fiduciary duties by placing the investor into unsuitable and risky investments; unauthorized use of client funds; and failure to supervise and to maintain adequate system of supervision from late 2020 onward. The claim settled for $260,000.