Soreide Law Group has been contacted by two former clients of Anthony Diaz (CRD #4131948), a Scotrun, Pennsylvania, financial planner who has been accused by the Financial Industry's Regulatory Authority (FINRA) of allegedly duping dozens of clients out of millions of dollars over the past few years. We are currently investigating these allegations.
FINRA alleges that Anthony Diaz bought unsuitable variable life insurance investments for approximately 80 clients, many of whom were near retirement age. These funds had large exit fees. Diaz is also accused of falsifying financial information and dates. Many of these investments were illiquid making it impossible for elderly clients to convert these products into cash.
Diaz is also accused by FINRA of allegedly committing fraud in connection with alternative investments. Diaz allegedly promised high returns enticing investors.
Further allegations by FINRA against Diaz allegedly included unauthorized trading, lying to clients regarding being fired from four firms, and falsifying his records by creating 71 false records to make unauthorized trades during the period of March 2010 and April 2011, according to FINRA. Allegedly Diaz forged a client's signature, overstated her risk tolerance, and inflated her tax bracket.
According to FINRA's BrokerCheck, Anthony Diaz (CRD 4131948) is currently registered with the following securities firm(s):
IBN FINANCIAL SERVICES, INC. (CRD# 42360) Registered with this firm since 9/27/2012
140 ROSE ST., SCOTRUN, PA 18355
Diaz was previously registered with the following securities firm(s):
SANDLAPPER SECURITIES, LLC (CRD# 137906) - SCOTRUN, PA
03/2012 - 09/2012
INTERNATIONAL FINANCIAL SOLUTIONS, INC. (CRD# 40375) - SCOTRUN, PA
08/2011 - 03/2012
KOVACK SECURITIES INC. (CRD# 44848) - SCOTRUN, PA
04/2011 - 08/2011
MATRIX CAPITAL GROUP, INC. (CRD# 33364) - NEW YORK, NY
03/2010 - 04/2011
SII INVESTMENTS, INC. (CRD# 2225) - SCOTRUN, PA
03/2009 - 03/2010
FIRST ALLIED SECURITIES, INC. (CRD# 32444) - SCOTRUN, PA
06/2005 - 04/2009
ROUND HILL SECURITIES, INC. (CRD# 35223) - ALAMO, CA
12/2004 - 06/2005
RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD# 6694) - ST. PETERSBURG, FL
12/2002 - 12/2004
EDWARD JONES (CRD# 250) - ST. LOUIS, MO
07/2000 - 12/2002
HORWITZ & ASSOCIATES, INC. (CRD# 5611) - RIVERWOODS, IL
03/2000 - 06/2000
Soreide Law Group represents clients nationwide before FINRA. If you were a client of Anthony Diaz and experienced losses, please call an attorney for a free consultation on how to potentially recover those losses: 888-760-6552.
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