Jose A. Vidal Investigation
April 2022- Miami, FL
The FINRA records of Jose A. Vidal, a broker with Insigneo Securities who formerly worked for Wells Fargo Advisors, disclose a prior customer dispute.
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 November of 2016, FINRA case #16-03375 , was filed by a Wells Fargo Advisors customer alleging that from 2009 through September of 2016, Vidal made unsuitable investments in ETFs and other securities. The case settled in the amount of $390,000 in 7/2018.
Vidal has been registered with Insigneo Securities since October of 2020. He was with Wells Fargo Clearing Services and Merrill Lynch, Pierce, Fenner & Smith earlier in his career.
If you have questions about an account handled by Jose A. Vidal, call for a no charge consultation to learn more about your legal options.
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.
International Representation
TollFree: 877-224-3199
Florida-561 391 1900
Texas-512-329-2870