Ivan Antonio Claudio (Ivan Claudio) – Customer Disputes Filed Involving Financial Advisor/Broker Ivan Claudio | Goodman & Nekvasil P.A., May Recover Investor Losses on Puerto Rico Bonds and Closed-End Funds
Ivan Claudio was licensed with Santander Securities, LLC from 1997 to 2016. Ivan Claudio is now licensed with Aegis Capital Corp. FINRA reports that three arbitration claims and/or complaints were filed involving Ivan Claudio’s conduct with Santander Securities, LLC, alleging unsuitable transactions, unauthorized trading, omission of material facts, fraud, negligence and/or overconcentration and misrepresentation of Puerto Rico closed-end funds. These arbitration claims and/or complaints all settled, with the largest settling for $75,000.
FINRA reports that nine complaints and/or arbitration claims involving Ivan Claudio’s conduct with Santander Securities, LLC are currently pending. These claims allege among other things, violations of the securities laws and regulations, common law fraud, constructive fraud, negligent misrepresentation, breach of fiduciary duty, breach of contract, negligent management, negligent supervision of employees, fraudulent concealment of misconduct, false inducement to inaction, breach of duty of good faith and fair dealing, unsuitability, and/or overconcentration of Puerto Rico municipal bonds and closed end-funds. The largest of these pending complaints and/or arbitration claims seeks damages between $1,000,000 and $5,000,000.
If you lost any money on Puerto Rico bonds or closed-end funds with Ivan Claudio, you may be able to recover your losses from Santander Securities, LLC and/or Aegis Capital Corp. This is because Santander Securities, LLC and Aegis Capital Corp. had a duty to supervise Ivan Claudio.
If you lost money on Puerto Rico bonds or closed-end funds with Ivan Claudio and believe that the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against Santander Securities, LLC and/or Aegis Capital Corp. concerning Ivan Claudio’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $170 million on behalf of victimized investors. If you lost money on Puerto Rico bonds or closed-end funds with Ivan Claudio and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
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