Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Antonio Bauza (Bauza), currently associated with Stonecrest Capital Markets, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Bauza 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 $350,000.00 on September 22, 2023.
Time frame: September 2015 – February 2017. Claimant alleges unsuitable investments and, breach of fiduciary duty.
