Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bennett Herzfeld (Herzfeld), previously associated with Carter, Terry & Company, INC., has at least one disclosable event. These events include one customer complaint, alleging that Herzfeld recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on July 20, 2021.
Suitability