Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Keller (Keller), previously associated with Chelsea Financial Services, has at least one disclosable event. These events include one customer complaint, alleging that Keller 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 $100,000.00 on August 10, 2020.
Client alleges a 2015 replacement insurance policy’s fees and surrender scheduled were misrepresented.