Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Diaz (Diaz), currently associated with Phx Financial, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Diaz recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on August 19, 2024.
Between the dates of 11/2020 thru 12/2024, Claimant alleges respondent recommended unsuitable investments.
