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FINRA Broker Allegations

Allegations against: Anthony Diaz

Allegation type: Customer Dispute

Allegation status: Settled

The allegations read: From 2007 to 2013, claimants allege rr misrepresented guaranteed payments of interest, violated suitability requirements by recommending illiquid products, falsified liquid and net worth information, inflated income, guaranteed returns, and forged or caused to be forged certain account documentation in addition to recommending certain unsuitable stocks. Claimants also allege rr made false statements that were material to claimants' decision to invest.

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