Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Walters (Walters), currently associated with Janney Montgomery Scott LLC, has at least one disclosable event. These events include one customer complaint, alleging that Walters recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on October 16, 2023.
Client alleges that he purchased a variable annuity based on the Advisor’s misrepresentation of the annuity’s features and expected performance. Allegation period May 2013 to Present.