Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Errol Griffiths (Griffiths), previously associated with Tiaa-cref Individual & Institutional Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Griffiths recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on March 23, 2020.
The customer alleges failure to disclose charges, expenses and fees, guarantees and risks and the free look provision. This complaint was received on 1/14/20 but was not reported because it did not meet our criteria for reporting. The complaint is now being reported due to the settlement amount of $31,500.