Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rolando Perez (Perez), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Perez 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 $140,000.00 on October 24, 2022.
Claimant approaced defendent in March or April 2021 to help ascertain funding for company. Defendant introduced claimant to a bank to secure a line of credit. Around 7/6/2021 claimant wired $280,000 to bank. Unable to obtain the line of credit and other funding, the defendant requested funds on 6/28/2022. $140,000 was repaid on 7/16/2022. The balance was not paid by the due date of 8/30/2022. Claimant is suing for amount plus costs and damages.