Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Mclean (Mclean), currently associated with Sigma Financial Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Mclean 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 $191,000.00 on September 08, 2020.
Arbitration Statement of claim alleged breach of fiduciary duty, breach of contract, material misrepresentations, failure to supervise, negligence in connection with the alternative investments purchased in January of 2016.