Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jorge Alfonso (Alfonso), previously associated with Snowden Account Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Alfonso 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 $50,000.00 on September 10, 2021.
Respondent and its agents made false representations to Claimant. Respondent and its agents used or employed false, misleading and/or deceptive acts or practices under F.S.A. \\u00a7501.204. Respondent and its agents acted with negligence and gross negligence, completely outside the standard of care for a reasonable financial advisor, in the handling of Claimant’s investments, and caused damages to him as a result of these breaches of duty.