Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Raymond Arroyo (Arroyo), currently associated with Vanguard Marketing Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Arroyo recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on October 14, 2024.
CLIENTS ALLEGED THEY WERE NOT INFORMED THAT THEIR SHARES WOULD BE SOLD AT A LOSS, AS WELL AS, THEIR INSTRUCTIONS TO NOT INVEST CERTAIN FUNDS WERE NOT FOLLOWED RESULTING IN A LOSS.
