Articles Tagged with Juan Rascon

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

FINRA BrokerCheck shows a pending customer complaint on July 07, 2025.

Claimant alleges unsuitable investment recommendations.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Juan Rascon (Rascon), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rascon 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 May 18, 2023.

Claimant inherited her father’s self-directed brokerage account. In 2015, claimant moved account to firm and pledged the assets to secure a line of credit with firm’s former affiliate bank. Said line of credit was in the name of claimant and her husband (who she has since divorced). Brokerage account was claimant’s sole property under Texas law. Claimant asserts that firm breached its fiduciary duty and failed to make suitable recommendations in allowing claimant to pledge her sole property assets against the joint debt and by allowing her to make equity investments in a self-directed account.