Potomac Analytics' Logo

FINRA Broker Allegations

Allegations against: Ian M Deliz Morales

Allegation type: Customer Dispute

Allegation status: Award / Judgment

The allegations read: Claimants allege that financial consultant investment recommendations to hold pr bond funds resulted in an over concentrated and risky portfolio, which were unsuitable positions in light of the client's risk tolerance. Claimants also allege that financial consultant did not fully explain the risks involving the margin account.

Back