Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christian Plaza (Plaza), previously associated with Vanguard Marketing Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Plaza 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 $5,321.00 on June 01, 2023.
Client alleges that the registered representative did not follow instructions when processing a Qualified Charitable Donation resulting in a realized capital gain and additional IRS tax liabilities. The activity date leading to the allegation was August 2, 2022.
