Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Caleb Stephens (Stephens), currently associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stephens 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 $72,000.00 on January 17, 2021.
The client alleges that the financial advisor provided poor advice regarding July 2017 IRA distribution.