Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ann Werts (Werts), previously associated with Madison Avenue Securities, LLC, has at least 5 disclosable events. These events include 5 customer complaints, alleging that Werts 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 $50,000.00 on March 07, 2023.
Breach of Fiduciary Duty, Breach of Regulation BI, Misrepresentation/Non-Disclosures, unsuitable recommendation of alternative investments.