Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Diaz (Diaz), previously associated with Principal Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Diaz 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 $25,000.00 on August 10, 2020.
The Trustee alleges the Trust lost money due to the representative’s failure to execute instructions to [REDACTED] accounts prior to his death.