Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Allan Fiore (Fiore), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Fiore 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 $963,620.00 on June 23, 2021.
The customer alleges that the Financial Advisor placed her in an unsuitable investment strategy, made misrepresentations and made unauthorized trades in the account.