Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 19, 2017 indicate that former Florida-based LPL Financial broker Pedro Diaz, who has been involved in a customer dispute, was discharged from his former employer in connection to alleged rule violations and is currently affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Diaz (CRD# 4877003).
Pedro Diaz has spent twelve years in the securities industry and was most recently registered with LPL Financial in Coconut Creek, Florida (2010-2017). He was previously registered with Amtrust Investment Services in Coral Springs, Florida (2005-2010). He has passed one securities industry examination: Series 7 (General Securities Representative Examination), which he passed on January 6, 2005. He is currently not registered with any state or firm.
According to his BrokerCheck report, he has received one customer complaint and one closed customer complaint, and was terminated from his former employer in connection to alleged rule violations.
In November 2017 he was terminated from his position at LPL Financial following allegations he participated in short term trading of mutual funds, in violation of his firm’s policy.
In 2008 a claimant alleged Pedro Diaz, while employed at Amtrust Investment Services, recommended an unsuitable investment in a Franklin Income Fund. The complaint settled for $6,219.
In 2008 a customer’s power of attorney alleged Pedro Diaz, while employed at Amtrust Investment Services, recommended an unsuitable variable annuity investment. The claimant sought unspecified damages in the complaint, which was denied.
If you or someone you know has a complaint regarding Pedro Diaz, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup lost funds. Fitapelli Kurta accepts every case on contingency: we only get paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.