Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with Teresa Bravo. If you suffered losses investing with Teresa Bravo, then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Teresa Bravo (CRD# 1575928)
As of August 15, 2019, Teresa Bravo’s FINRA BrokerCheck Report contains the following:
Disclosure Events
23 Customer Dispute(s)
0 Regulatory Event(s)
0 Investigation(s)
0 Employment Separation After Allegations
0 Criminal Disclosure(s)
0 Financial Disclosure(s)
0 Civil Disclosure(s)
0 Judgment(s)/Lien(s)
Current and Previous Registrations
02/28/2018 – PRESENT NATIONWIDE PLANNING ASSOCIATES INC. (CRD#: 31029) SAN JUAN, PR
01/30/2015 – 03/02/2018 AEGIS CAPITAL CORP. (CRD#:15007) SAN JUAN, PR
09/16/2011 – 02/03/2015 UBS FINANCIAL SERVICES INC. (CRD#:8174) SAN JUAN, PR
09/16/2011 – 02/03/2015 UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO (CRD#:13042) SAN JUAN, PR
03/17/2006 – 09/19/2011 BBVA SECURITIES OF PUERTO RICO, INC. (CRD#:39615) HATO REY, PR
09/12/1998 – 03/20/2006 SANTANDER SECURITIES (CRD#:41791) DORCHESTER, MA
10/22/1986 – 09/09/1998 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
10/22/1986 – 12/31/1990 PRUDENTIAL-BACHE CAPITAL FUNDING PUERTO RICO INC. (CRD#:8450)
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses investing with Teresa Bravo and would like a free consultation with a securities attorney, then please call Galvin Legal at 1-800-405-5117.
Galvin Legal is a national securities arbitration, mediation, fraud, and investor protection law practice. For more information on Galvin Legal, please visit www.galvinlegal.com or call 1-800-405-5117.