Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cindy Ghattas (Ghattas), previously associated with Waddell & Reed, has at least one disclosable event. These events include one customer complaint, alleging that Ghattas 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 $1,000,000.00 on March 06, 2024.
Alleged breach of fiduciary duty, negligence/gross negligence, negligent misrepresentation, intentional misrepresentations/omissions, breach of contract, violation of the North Carolina Securities Act, and violation of the Kansas Securities Act regarding options trading from February 2017 to September 2023.