Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Enric Sifa (Sifa), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sifa 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 $16,000.00 on April 02, 2021.
Customer alleges that she was misled into purchasing a variable universal life insurance policy in June 2018 and requests a return of the premiums she paid.