Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christie Caliva (Caliva), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Caliva 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 $40,000.00 on April 12, 2023.
Client alleging investment in Franklin Square Investment Corp. III was unsuitable.