Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Rivera (Rivera), currently associated with Calton & Associates, Inc., has at least one disclosable event. These events include one tax lien, alleging that Rivera recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on October 28, 2024.
Rendered investment advice, from a location within Florida, without being registered by the Office.
