Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Miguel Rivera (Rivera), previously associated with Westpark Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rivera 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 $100,000.00 on February 13, 2021.
Client alleges rep recommended trades that were not suitable and breach of fiduciary duty