Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ricardo Rose (Rose), previously associated with Arive Capital Markets, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Rose 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 $50,000.00 on March 09, 2023.
Claimant Claims GWG took her funds without her permission