Ronald Diaz Investigation
June 2023-Tuscon, AZ
The FINRA records of Ronald Diaz , a former stock broker who was last employed in the industry by Morgan Stanley, disclose a regulatory matter resulting in a bar from the industry and termination from employment.
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 5/2023, Pursuant to FINRA Rule 9552(h) and in accordance with FINRA’s Notice of Suspension and Suspension from Association letters dated February 7, 2023 and March 3, 2023, respectively, on May 10, 2023, Diaz is barred from association with any FINRA member in all capacities. Diaz failed to respond to a FINRA request for information in connection with a regulatory investigation.
In 12/2023, Diaz was discharged from Morgan Stanley who alleged that Diaz potentially defrauded a customer in the sale of an annuity away from the firm.
Diaz was employed by Morgan Stanley from 6/2019-12/2022. He was employed by J.P. Morgan Securities from 10/2012-6/2019 .Prior to that he was employed by Chase Investment Services Corp. and Merrill Lynch, Pierce, Fenner & Smith.
If you have losses in an account handled by Ronald Diaz call to learn how you may be entitled to collect 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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