Valenzuela failed to respond to a request for information from FINRA, and was subsequently barred in all capacities from 10/11/2018 through 11/16/2018. He is no longer barred from affiliating with a FINRA member firm.
There are two bankruptcy entries in Valenzuela’s record. The first, dated 11/28/2017, is listed as “pending.” The second, dated 9/11/2010, is listed as “dismissed,” with no further details.
Two customer disputes have been filed against Valenzuela. The first, filed on 11/03/2008, alleged Valenzuela exhibited “suitability and misrepresentation relating to a variable annuity.” This claim was ultimately dismissed.
The second dispute, filed on 11/23/2005, alleged misrepresentation regarding the purchase of a mutual fund. The client requested damages of $26,687.32, and the case settled for $12,269.77.
Did You Invest With Francisco Valenzuela?
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