Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Erin Klang (Klang), previously associated with Gradient Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Klang 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 $1,396,836.00 on September 04, 2020.
Allegations include breach of fiduciary duty and misrepresentation based on the sale of three flexible premium life insurance products and a purchase of fixed index annuity insurance product. This occurred on or about June 18, 2019.