Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Manuel Diaz Collazo (Diaz Collazo), previously associated with Insigneo Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Diaz Collazo recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on March 16, 2020.
Client’s allege unsuitability, over-concentration, breach of fiduciary duty, negligence, negligent supervision, failure to supervise, fraud, breach of contract, and violations of securities laws and rules (Puerto Rico bonds). Includes request for rescission, punitive damages, interest, costs and fees.