ANTONIO LUIS ROSADO SANTIAGO

ANTONIO LUIS ROSADO SANTIAGO is currently employed as a Broker and/or Investment Adviser at RD CAPITAL GROUP, INC. located at MCS PLAZA SUITE 305, 255 AVE. PONCE DE LEON, SAN JUAN, PR, 00917-1903.

ANTONIO LUIS ROSADO SANTIAGO has worked at RD CAPITAL GROUP, INC. since July 02, 2003

Disclosure History

ANTONIO LUIS ROSADO SANTIAGO has 1 Disclosure Event(s).

Date: September 16, 2002
Category: Customer Dispute
Allegations: CLIENT ALLEGES THROUGH HIS PURCHASE OF BANCO HIPOTECARIO, S.A. BONDS WAS MISCHARACTERIZED AS AN UNSOLICITED PURCHASE; CLAIMANT FURTHER CONTENDS THAT HIS PURCHASE OF THIS BONDS WAS BASED UPON INCOMPLETE INFORMATION AND WAS UNSUITABLE.
Damage Amount Requested: $20,000.00
Settlement Amount: $17,500.00

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

To view the full report for ANTONIO LUIS ROSADO SANTIAGO, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.