Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jose Del Valle (Del Valle), currently associated with Nationwide Planning Associates INC., has at least one disclosable event. These events include one customer complaint, alleging that Del Valle 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 $1,000,000.00 on January 10, 2022.
Time frame: From 2013 through 2020. Allegations: Claimant alleges her investments in Puerto Rico closed-end funds were unsuitable, over-concentrated, and misrepresented as safe investments.