Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carl Williams (Williams), currently associated with Prospera Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Williams 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 $500,000.00 on March 02, 2023.
Customers allege representative recommended an investment strategy that was not suitable for their investment objectives and risk tolerance. Time period: April 22, 2020 to October 20, 2022.