Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Evan Hershey (Hershey), currently associated with Caldwell Sutter Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hershey 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 $426,706.00 on April 17, 2023.
Claimant alleges representative failed to terminate defined benefit plans.