Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jaime Sanchez Rivera (Sanchez Rivera), previously associated with First Southern Securities, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Sanchez Rivera 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 $250,000.00 on December 02, 2024.
The Broker falsified documents that he provided the customer reflecting he had ownership in a fund. This was to make up for losses he occured at the brokers prior firm.