Pedro Omar Diaz, of Coconut Creek, Florida, a stockbroker employed with LPL Financial LLC, has been fired on November 29, 2017, founded on accusations that he violated LPL Financial’s policy by engaging in the short-term trading of mutual fund trades in customer accounts.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Diaz has been referenced in two customer initiated investment related disputes pertaining to allegations of his violative conduct during the time that he was employed with Amtrust Investment Services, Inc. Specifically, on November 15, 2008, a customer initiated investment related written complaint involving Diaz’s conduct was settled for $6,219.00 in damages based upon accusations that Diaz placed unsuitable Franklin Income Fund purchases in the customer’s investment account.
Additionally, on November 21, 2008, a customer brought an investment related written claim pertaining to Diaz’s activities, alleging that a variable annuity transaction was not suitable for the customer.
Since January 18, 2018, Diaz has been registered with Newbridge Securities Corporation.
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