Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Antoinette Lucas (Lucas), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Lucas recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on March 11, 2020.
The client states that she provided account trade instructions to the representative on February 20, 2020 but due to a delay in trades being made, has experienced a loss in account value.