Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Catherine Bradford (Bradford), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bradford recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on May 27, 2024.
Client alleges financial losses due to lack of credible advice causing delays in investing.