Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Valdes (Valdes), currently associated with Lincoln Investment, 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 $30,000.00 on April 03, 2020.
Clients allege they met with their registered representative on March 9, 2020 to request their accounts be moved to a fixed interest option. The requested transactions were not performed by the registered representative, causing their accounts to incur market losses.