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Richard Diaz Of Principal Securities Has A Customer Complaint For Alleged Broker Misconduct

Who is Richard Diaz of Principal Securities?

Richard Diaz (CRD #4455758) who is currently registered with Principal Securities and located in Lansing, Michigan is a subject of one of our many securities industry sales practice abuse investigations.

Richard Diaz Customer Complaint

Richard Diaz has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were the trustee alleged the trust lost money due to the representative’s failure to execute instructions to the trusts’ accounts. The customer complaint filed against Richard Diaz’s current employer Principal Securities for investment losses caused by the alleged misconduct is pending as of the date of this report.

Richard Diaz Red Flags & Your Rights As An Investor

Of course, Richard Diaz did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Richard Diaz at Principal Securities on alert to review carefully the activity and performance of their accounts and question whether Richard Diaz has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Principal Securities also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim To Recover Your Investment Losses At Principal Securities Due To Richard Diaz

If you have questions about Principal Securities and/or Richard Diaz and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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