Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Cuddy (Cuddy), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cuddy 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 $27,000.00 on June 16, 2022.
Customer alleged the purchase of MicroStrategy Incorporated (MSTR) into her discretionary managed account was not suitable.