Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Arben Gecaj (Gecaj), currently associated with Cabot Lodge Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gecaj recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $414,224.00 on August 24, 2021.
Client alleges unsuitable transactions based on the client’s investment profile, misrepresentation of the risk associated with those transactions, unauthorized discretionary trading, breach of fiduciary duty, breach of oral and written contract, negligence, and failure to supervise. The clients allege such activity occurred between 2015 – 2017.