Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brett Ellen (Ellen), previously associated with Metric Financial INC., has at least one disclosable event. These events include one customer complaint, alleging that Ellen recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $204,812.00 on August 15, 2023.
Customer alleges breach of fiduciary duty, breach of contract, material misrepresentations and omissions, and negligence related to alternative investments.