Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Pandis (Pandis), currently associated with Cetera Investment Services LLC, has at least 5 disclosable events. These events include 5 customer complaints, alleging that Pandis recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $260,000.00 on December 11, 2024.
Unsuitable recommendation and overconcentration of assets into a single highly-speculative alternative investment.