Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rinaldo Diaz-flores (Diaz-flores), currently associated with Kovack Securities Inc., has at least one disclosable event. These events include one customer complaint, alleging that Diaz-flores recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000.01 on August 09, 2024.
Claimant alleges that his investments were subject to unsuitable hold reccomendations for three PR closed end bond funds.
