Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Carbiener (Carbiener), currently associated with Steward Partners Investment Solutions, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Carbiener 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 $7,580.00 on January 29, 2022.
Client alleges the Advisor failed to execute a mutual fund exchange upon request. The Firm found no evidentiary support. While denying the allegations, the Firm decided to settle the matter.