October 2019-McAllen & Brownsville, TX
According to publicly available records Yvonne L. Silguero (CRD#4895654) , a stockbroker who works for LPL FInancial discloses 2 pending 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 8/2019 a customer of LPL Financial filed FINRA case 19-2204 alleging negligence, misrepresentation, breach of fiduciary duty and failure to supervise for the period of time 7/2014-10/2018. The customer is seeking damages of $500,000.
In pending FINRA Case 17-0904 a customer of LPL Financial alleges that Silguero and LPL sold him unsuitable products for which he was not eligible and is seeking unspecified damages.
Silguero has been employed by LPL FInancial since 3/2008.
If you had an account with Yvonne Silguero that suffered losses, you may be entitled to collect damages from his prior employer. Call to discuss your 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.
Florida-561 391 1900