Rodrigue Lors (CRD #: 4379214), a registered broker with Wilmington Capital Securities, LLC, is facing an investor allegation that he made unsuitable investment recommendations, according to his BrokerCheck record, accessed August 25, 2020. Mr. Lors has several other disclosures on his record with similar allegations.
On July 16, 2020, an investor alleged that Mr. Lors made unsuitable investment recommendations. The investor is seeking $100,000; the dispute is pending.
There are two other disclosures that allege Rodrigue Lors executed trades without client authorization. These disclosures total $110,000; both disputes were denied by the firm.
Rodrigue Lors has passed the Series 63 Uniform Securities Agent State Law Examination, the Securities Industry Essentials Examination, and the Series 7 General Securities Representative Examination. He is a broker registered in the following states:
- New York
- South Carolina
In the course of his 15-year career, Rodrigue Lors has worked at two firms besides Wilmington Capital Securities:
- National Securities Corporation (CRD #: 7569)
- Gunnallen Financial (CRD #: 17609)
If Rodrigue Lors was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys at Fitapelli Kurta. Call (877) 238-4175 or email firstname.lastname@example.org for your free case consultation with a securities attorney.