Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Rodriguez (Rodriguez), previously associated with Calton & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rodriguez 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 $40,000.00 on March 27, 2023.
Claim alleges breach of fiduciary duty, violation of FINRA and NASD rules, breach of contract, and negligence relating to investment made in July of 2016.