Potomac Analytics' Logo

FINRA Broker Allegations

Allegations against: Miguel Andres Pascual

Allegation type: Customer Dispute

Allegation status: Settled

The allegations read: Time frame: unspecified allegations: claimants allege the recommendation to invest in and hold puerto rico closed-end funds was unsuitable and that their accounts were over-concentrated in these investments. Claimants also allege that the risk of investing in and concentration in puerto rico investments was misrepresented.

Back