Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alison Stine (Stine), currently associated with Gwn Securities INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Stine 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 $18,484.18 on November 30, 2020.
Client alleges RR forged the signature of another RR on account opening documentation, and misrepresented an unsuitable variable annuity sold in 2019.