Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Catherine Clark (Clark), currently associated with Vanguard Marketing Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Clark recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on December 08, 2025.
Clients allege the advisor failed to adequately disclose or set expectations related to the potential impact of realized capital gains and further alleges that securities were sold from the account without the client’s authorization.