Articles Tagged with First Southern

Published on: | by

FINRA has suspended financial advisor Jamie I. Sanchez Rivera (CRD #6013022) from the securities industry for five months and fined him $10,000.   Jamie I. Sanchez Rivera was a stockbroker at First Southern, LLC in Guaynabo, Puerto Rico, from April 2017 until May 2020.

First Southern, LLC fired Mr. Sanchez Rivera in May 2020, alleging the following:

  • Sanchez Rivera failed to immediately advise the firm of a customer’s complaint regarding an investment recommendation that he made, in violation of firm policy.
Continue reading
Contact Information
1 World Trade Center, 85th Floor
New York, NY 10007
Toll Free: (855) 430-4010
Iorio Altamirano LLP represents clients throughout the nation, including, but not limited to, those in the following localities: Atlanta, Austin, Baltimore, Boston, Charlotte, Chicago, Cincinnati, Cleveland, Dallas–Fort Worth, Denver, Detroit, Honolulu, Houston, Los Angeles, Miami, New York City, Philadelphia, Phoenix, Pittsburgh, Portland, San Bernardino-Riverside, San Diego, San Francisco, Seattle, St. Louis, Tampa–St. Petersburg, and Washington, D.C. View More

ATTORNEY ADVERTISING
Prior results do not guarantee a similar outcome.
*We do not collect a fee unless we obtain a recovery via settlement or judgment. You may, however, be responsible for costs and expenses the firm has advanced according to the terms of your agreement with the firm. Advanced costs and expenses may be recovered by the firm by deducting the expense from the gross recovery of any settlement or judgment.

This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.

Please do not include any confidential or sensitive information in a contact form, text message, or voicemail. The contact form sends information by non-encrypted email, which is not secure. Submitting a contact form, sending a text message, making a phone call, or leaving a voicemail does not create an attorney-client relationship.

Copyright © 2024, Iorio Altamirano LLP
JUSTIA Law Firm Blog Design