Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Abraham Barrera (Barrera), currently associated with Wealth Enhancement Brokerage Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Barrera recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $75,000.00 on September 26, 2023.
Former client alleges sales practice violations including breach of fiduciary duty, misrepresentation, and failure to disclose. Though not named as a respondent and not mentioned by name in the statement of claim, representative was the selling agent on the variable annuity contracts at issue.