Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ray anthony San pedro (San pedro), currently associated with Arete Wealth Management, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that San pedro recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $15,000.00 on October 15, 2024.
Breach of fiduciary duties.