Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Teresa Bravo (Bravo), currently associated with Nationwide Planning Associates INC., has at least one disclosable event. These events include one customer complaint, alleging that Bravo 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 $300,000.00 on March 29, 2021.
Time frame: January 2011-Unspecified Claimant alleges that the recommendation to invest in and hold Puerto Rico closed-end funds and Puerto Rico municipal bonds was unsuitable and that his account was over-concentrated in these investments. He also alleges that the risks of investing in and concentrating in PR investments were misrepresented.