Broker Investigation: Anthony Diaz

Anthony Diaz (CRD#: 4131948) is a previously registered securities broker who has a long history of alleged misconduct and FINRA disclosures. Mr. Diaz has previously been associated with several different brokerage firms, the most recent including IBN Financial Services (2012-2015), Sandlapper Securities (2012), International Financial Solutions (2011-2012), Kovack Securities (2011), and Matrix Capital Group (2010-2011).

On April 30th, 2018, the Financial Industry Regulatory Authority (FINRA) suspended Anthony Diaz from the securities industry indefinitely. According to FINRA, Mr. Diaz failed to comply with an arbitration award. This is a direct violation of FINRA Rule 9554, which requires that all arbitration awards be paid or appealed within 30 days. Here, our investment fraud lawyers highlight some of the most recent investor complaints and regulatory sanctions against this broker.

FINRA Disclosures: Anthony Diaz

• April 2018: Failure to pay a $4.3 million FINRA arbitration award. Mr. Diaz is suspended until this award is paid.
• September 2017: Investor alleged that Mr. Diaz forged documents. The claim was settled for $45,000.
• May 2016: Customer alleged that Mr. Diaz made material misrepresentations. The claim was settled for $86,450.
• April 2016: Investor alleged false statements and unsuitable investment recommendations. The claim was settled for $112,265.
• July 2015: Unsuitable recommendations were alleged in variable annuities. The claim was settled for $60,000.
• March 2015: Mr. Diaz made unsuitable investment recommendations and forged client paperwork. This claim was settled for $29,318.

This is just a small sampling of the 55 total disclosures that broker Anthony Diaz has on his record. For full details, please refer to FINRA’s BrokerCheck tool: CRD#: 4131948.

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