Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Julio Rodriguez (Rodriguez), previously associated with PFS Investments INC., has at least one disclosable event. These events include one customer complaint, alleging that Rodriguez recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on October 04, 2023.
THE STATEMENT OF CLAIM ALLEGES THAT JULIO RODRIGUEZ DID NOT DISCLOSE ALL THE FEATURES OF THE MUTUAL FUNDS AND VARIABLE ANNUITY AND THE PRODUCTS WERE UNSUITABLE FOR THE CLIENT’S FINANCIAL NEEDS