Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Summers (Summers), previously associated with Lasalle St Securities, L.l.c., has at least one disclosable event. These events include one customer complaint, alleging that Summers recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on December 04, 2020.
Claimant alleges that around 2009, Financial Advisor recommended unsuitable investments in an E*TRADE accounts.