Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Wareham (Wareham), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wareham recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $5,000.01 on March 12, 2024.
Allege that investments were not suitable and were not in line with their investment objectives.