Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alyssa Schultz (Schultz), previously associated with Pruco Securities, LLC., has at least one disclosable event. These events include one customer complaint, alleging that Schultz 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 $70,000.00 on April 13, 2021.
The complainants allege that beginning in or around 2015, the rep sold them unsuitable securities and concealed the inherent risks of them, which caused them financial harm.