Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ismael Reyes Retana (Reyes Retana), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Reyes Retana 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 $106,000.00 on February 27, 2024.
Customer alleges failure to explain that fixed allocation in annuity was subject to credit risk of issuer.