Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alan Stricker (Stricker), currently associated with Newedge Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stricker 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 $23,995.00 on June 02, 2021.
A customer complaint alleging that a covered call option strategy was not closed out at the right time. Alleged activity took place between July, 2020 and May, 2021.