Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Luis Mendoza (Mendoza), currently associated with Truist Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mendoza recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on December 06, 2022.
Client alleges the terms of the callable fixed rate note purchased on October 28, 2019 were misrepresented. The client liquidated the CD on October 13, 2022.