Ivan Antonio Claudio, a/k/a Ivan Claudio Villamil, Allegedly Engaged in Unsuitable Transactions, & Misrepresentation of Puerto Rico Closed-end Funds

Ivan Claudio, a/k/a Ivan Claudio Villamil, allegedly engaged in unsuitable transactions, unauthorized trading, omission of material facts, fraud, negligence and/or over-concentration and misrepresentation of Puerto Rico closed-end funds, all according to a customer complaint disclosed in publicly available records maintained by the Financial Industry Regulatory Authority (FINRA).

The investor rights lawyers at Goldman Scarlato & Penny law firm are investigating Mr. Claudio’s conduct to determine whether any investors may have claims for unsuitable transactions, unauthorized trading, omission of material facts, fraud, negligence and/or over-concentration and misrepresentation of Puerto Rico closed-end funds. Investors may contact investor rights attorney Alan Rosca to provide information or inquire about their legal options.

Claudio Has 23 Disclosures & 3 Claims Were Filed Relating to His Work with Santander Securities, LLC

Ivan Claudio was reportedly licensed with Santander Securities, LLC from 1997 to 2016, and was then registered with Aegis Capital from March of 2016 to March 2018, and with Nationwide Planning from March of 2018 to April 2018, according to FINRA Reports.

Claudio has 23 disclosures in his 31 year career in the securities industry, and 3 of Claudio’s arbitration claims and/or complaints were filed involving Claudio’s conduct with Santander Securities, LLC, FINRA notes. These arbitration claims and/or complaints were all settled, with the largest settling for $75,000, FINRA notes.

Brokerage firms such as Santander Securities, LLC have a responsibility to adequately supervise all of their registered representatives who are employed through their firm, to prevent violations of securities rules and regulations. Brokerage firms also must initiate action to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  If and when brokerage firms fail to adequately supervise their registered representatives, they may be held liable for investment losses sustained by customers.

Securities Lawyer Investigating

The Goldman Scarlato & Penny PC law firm represents investors who lose money as a result of investment-related fraud or misconduct and are currently investigating Ivan Claudio‘s alleged engagement in unsuitable transactions, unauthorized trading, omission of material facts, fraud, negligence and/or over-concentration and misrepresentation of Puerto Rico closed-end funds. The firm takes most cases of this type on a contingency fee basis and advance the case costs, and only gets paid for their fees and costs out of money recovered for clients. Attorney Alan Rosca, a securities lawyer and adjunct professor of securities regulation, has represented thousands of victimized investors across the country and around the world in cases ranging from arbitrations to securities class actions.

If you or a loved one or a friend has lost money investing with Ivan Claudio, you may contact attorney Alan Rosca or his colleagues for a free no-obligation evaluation of their recovery options, at 888-998-0530, via email at rosca@lawgsp.com, or through the contact form on this webpage.

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In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow cases about which we report, and/or to publish subsequent updates regarding various developments that may occur in such cases. Readers are encouraged to conduct their own research regarding any such cases and any developments that may or may not have occurred in such cases. Also, the brokercheck report linked to some of our blogs is the up-to-date version as of the date of posting. Visitors may check the most recent version of each brokercheck report at www.finra.org.