Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sergio Moure Torres (Moure Torres), currently associated with Oriental Financial Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Moure Torres recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $6,000.00 on January 27, 2022.
Moure Torres was a subject of the customer’s complaint against his member firm that asserted the following causes of action: breach of fiduciary duty; misrepresentation; omission of facts; unauthorized trading; unsuitability of investments; breach of Article 1536 of the Civil Code of Puerto Rico; and negligent supervision.