Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alexander Callahan (Callahan), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Callahan recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on May 30, 2023.
Customer alleges misrepresentation, unsuitable investment recommendations and failure to act in customers best interest regarding investment strategies from September 2021 to March 2023.