Broker Investigation: Anthony Diaz

anthony diaz ibn financial servicesAnthony Diaz (CRD#: 4131948) is a previously registered securities broker who has a long history of alleged misconduct and FINRA disclosures. Mr. Diaz has previously been associated with several different brokerage firms, the most recent including IBN Financial Services (2012-2015), Sandlapper Securities (2012), International Financial Solutions (2011-2012), Kovack Securities (2011), and Matrix Capital Group (2010-2011).

On April 30th, 2018, the Financial Industry Regulatory Authority (FINRA) suspended Anthony Diaz from the securities industry indefinitely. According to FINRA, Mr. Diaz failed to comply with an arbitration award. This is a direct violation of FINRA Rule 9554, which requires that all arbitration awards be paid or appealed within 30 days. Here, our investment fraud lawyers highlight some of the most recent investor complaints and regulatory sanctions against this broker.

FINRA Disclosures: Anthony Diaz

This is just a small sampling of the 55 total disclosures that broker Anthony Diaz has on his record. For full details, please refer to FINRA’s BrokerCheck tool: CRD#: 4131948.

Speak to a Securities Fraud Lawyer Today

At the Sonn Law Group, our legal team is dedicated to advocating for the rights and interests of investors. If you were the victim of investment fraud or securities broker negligence, we are prepared to help. For a free, private consultation, please contact our law firm today.

Disclaimer: This article contains opinions and NOT statements of fact in any way whatsoever. The information here is general information that should not be taken as legal advice. NO attorney-client relationship is established between you and our attorneys by reading this article. This article is attorney advertising and should not be used as a substitute for legal advice from a qualified securities lawyer.

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