Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Klein (Klein), currently associated with Private Client Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Klein recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on August 02, 2023.
Customer alleges representative made concentrated investments in customer’s accounts in alternative investment products that were inappropriate for the customer’s investment objectives. Time period 2009-2023.