Securities Lawyers Blog
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Wilfredo Ortiz Aponte (Ortiz Aponte), previously associated with Pariter Securities, LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Ortiz Aponte concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $99,000.00 on October 25, 2021.
The accusations include, but are not limited to, unsuitability, misrepresentation, breach of fiduciary \, responsibilities, churning, and breach of contract