Eladio Santiago Investigation
November 2021- Fulton, MD
According to publicly available records Eladio Arturo Santiago, a broker with Cambridge Investment Research broker discloses 2 customer disputes.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In 11/2020, in FINRA case #20-00104, a UBS Financial Services, Inc. customer alleged unsuitability and mismanagement with respect to recommendations and handling of accounts by Santiago. The case was settled for $75,0000.
In 11/2020, in FINRA case 19-02388, a UBS Financial Services, Inc. customer alleged unsuitability and mismanagement with respect to recommendations and handling of accounts. The case settled for $95,000.
Santiago has been employed with Cambridge Investment Research Advisors since October of 2018. Before that time he was with UBS Financial Services, Inc. Santiago discloses a business affiliation with Strategic Investments located in Fulton, MD.
If you have questions about an investment account with Eladio Santiago, call to learn how you may be able to recover damages through FINRA arbitration.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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