Francisco Javier Valenzuela of Tucson Arizona a stockbroker formerly employed by Morgan Stanley has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on allegations that he did not respond to a FINRA request regarding his activities. Case No. 2018057266701 (Aug. 13, 2018).
FINRA Public Disclosure reveals that Valenzuela has been identified in two additional customer initiated investment related disputes containing accusations of his improper conduct during the time that he was associated with Chase Investment Services Corp. Particularly, on February 2, 2006, a customer initiated investment related complaint concerning Valenzuela’s conduct was settled for $12,269.77 in damages supported by allegations that misrepresentations had been made to the customer concerning mutual fund purchases.
Then, on November 3, 2008, a customer filed an investment related complaint regarding Valenzuela’s activities where the customer requested $8,500.00 in damages based upon accusations that misrepresentations had been made to the customer and variable annuity purchased by the customer was unsuitable.
Valenzuela’s registration with Morgan Stanley has been terminated as of January 25, 2018.
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