Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Luis Rodriguez (Rodriguez), currently associated with Private Portfolio, 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 with a damage request of $50,000.00 on May 10, 2023.
In January 2022, customer bought shares and held them in her account, with several subsequent buys and sells. In May 2023, customer initiated a verbal complaint alleging that she did not authorize the initial purchase on January 6, 2022. The matter was resolved to the satisfaction of both parties, with a final settlement in July 2023.