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FINRA Broker Allegations

Allegations against: Anthony Diaz

Allegation type: Customer Dispute

Allegation status: Settled

The allegations read: From 2006-2012, 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 asked claimants to sign blank account forms, which he completed or caused to be completed with claimants' permission. Claimants also allege rr made false statements that were material to claimants' decision to invest.

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