Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Athishay Gangadharan (Gangadharan), currently associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gangadharan recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on June 03, 2020.
The client alleges that during a meeting with the representative on or around February 21, 2020 she advised the representative that she wanted to move her investments to safety because of the spreading news\<char_lb_r>\, related to the Corona virus. The client claims that the representative ignored her instructions and invested the client’s cash and that she has suffered financial losses as a result.