Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Corwin (Corwin), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Corwin recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on April 04, 2023.
The complainant alleges that, beginning in or around 2019, the rep was involved in a matter where unsuitable recommendations and material misrepresentations were made in relation to annuity products and fraudulent real estate investments, which resulted in financial harm to the complainant.