Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Castro (Castro), currently associated with David Lerner Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Castro 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 $99,999.00 on July 24, 2023.
Hold recommendation SOAEX, APLE\, June 12, 2007, date of the first purchase to July 24, 2023 the date the SOC was received.