Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alan Berger (Berger), currently associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Berger recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $100,000.00 on September 22, 2020.
More than five years post investment and after receiving approximately $30,000 in distributions, Claimant now alleges the $100,000 investment she elected to make in GPB Holdings in 2015 was/is unsuitable.