Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alexander Malley (Malley), previously associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Malley 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 $100,001.00 on June 18, 2021.
Claimant alleges their registered representative(s) recommended unsuitable investments in alternative investments.