Did you incur investment losses with Ricardo Fancois?
The Securities Law Firm of Menzer & Hill, P.A. is investigating claims involving Ricardo Fancois formerly of Caldwell International Securities related to his alleged violation of FINRA rules and regulations.
Fancois has been barred by FINRA.
Fortunately, for those investors that incurred losses investing with Fancois may be able to recover those losses through the FINRA arbitration process.
Under FINRA rules and regulations, Broker-Dealers are responsible for supervising the actions of those advisors registered with their firm, and therefore may be held liable for the actions of their Broker(s).