Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brady Clar (Clar), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Clar 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 $14,774.00 on November 17, 2020.
Client alleges in October 2019, representative provided advice to sell Master Limited Partnerships (MLP’s) in the account which resulted in a tax liability of $14,774.