Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christina Garland (Garland), currently associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Garland recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on October 29, 2021.
Customer complained that he had not authorized the sale of Exxon shares in his advisory account in April 2021, and requested restoration of the shares to his account. Activity period: 4/7/21 to 4/7/21.