Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rene Castro (Castro), currently associated with Great Point Capital LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Castro 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 $32,000.00 on January 03, 2024.
Claimant Trust alleges it was not suitable for the GWG L Bonds sold to it by Mr. Castro, acting as a registered representative of Great Point Capital, the Broker Dealer.