| Read Time: 2 minutes | Independent Financial Complaints |


Roberto Maldonado Of Independent Financial Group, LLC And Formerly With Santander Securities LLC Has 36 Customer Complaints For Alleged Broker Misconduct

Who is Roberto Maldonado of Independent Financial Group, LLC?

Roberto Maldonado

Roberto Maldonado (CRD #5093698) who is currently registered as a broker and investment adviser with Independent Financial Group, LLC and located in Guaynabo, Puerto Rico, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Independent Financial Group, LLC, Roberto Maldonado was associated with Santander Securities LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Investment Losses? Let’s talk.

or, give us a ring at (800) 732-2889.

Roberto Maldonado Customer Complaints

Roberto Maldonado has been the subject of 36 customer complaints that we know about to recover investment losses. Thirty-four of the customer complaints were settled by Santander Securities in favor of the Investors. Brokerage firm only denied 2 of the customer complaints and no further action was taken.

Allegations Against Roberto Maldonado

The allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses were generally related to the offer and sale of Puerto Rico municipal bonds and Puerto Rico denominated closed-end bond funds. The allegations generally included misrepresentations, misleading statements, unsuitable investment recommendations, overconcentration of client’s accounts in Puerto Rico securities, violations of federal and Commonwealth securities statutes.

Roberto Maldonado Red Flags & Your Rights As An Investor

Of course, Roberto Maldonado 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 Roberto Maldonado at Independent Financial Group, LLC and Santander Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Roberto Maldonado has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Independent Financial Group, LLC and Santander Securities LLC also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

Did You Lose Money Because of Broker Misconduct?

best investment fraud lawyers

If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

Need Legal Help? Let’s talk.

or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At Independent Financial Group, LLC Due To Roberto Maldonado

If you have questions about Independent Financial Group, LLC, Santander Securities LLC and/or Roberto Maldonado 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.

Author Photo

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.

Rate this Post

1 Star2 Stars3 Stars4 Stars5 Stars