Potomac Analytics' Logo

FINRA Broker Allegations

Allegations against: Nelson Rodriguez Fernandez

Allegation type: Customer Dispute

Allegation status: Settled

The allegations read: Time frame: unspecified claimant alleges that the recommendations to invest in and hold puerto rico closed end funds and puerto rican government bonds were unsuitable and that its accounts were over-concentrated in these investments. Claimant also alleges that the risks of geographic concentration, leverage, and liquidity were not disclosed.

Back