Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rudy Anguiano (Anguiano), currently associated with Alexander Capital, L.p., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Anguiano recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on October 30, 2025.
Customer verbally alleged advisor accepted and has not returned funds sent from lpl client account to an unapproved oba for which he was a sole member