Articles Tagged with First Southern

FINRA has suspended financial advisor Jamie I. Sanchez Rivera (CRD #6013022) from the securities industry for five months and fined him $10,000.   Jamie I. Sanchez Rivera was a stockbroker at First Southern, LLC in Guaynabo, Puerto Rico, from April 2017 until May 2020.

First Southern, LLC fired Mr. Sanchez Rivera in May 2020, alleging the following:

  • Sanchez Rivera failed to immediately advise the firm of a customer’s complaint regarding an investment recommendation that he made, in violation of firm policy.
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