Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bertram Unger (Unger), previously associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Unger 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 $15,290.59 on August 11, 2023.
The client alleges that trades placed by the Financial Advisor on February 8, 2021, were not authorized.