Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alicia Huburn (Huburn), currently associated with Tiaa-cref Individual & Institutional Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Huburn recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on May 06, 2020.
In the Arbitration statement of claim, the client alleges that the representative did not follow his instructions to liquidate funds from a specific account in March 2018. The client claims that his disability premiums were discontinued and forfeited due to the withdrawal from his Retirement Annuity and he has suffered damages as a result.