Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Franklin Reynolds (Reynolds), currently associated with the Strategic Financial Alliance, INC., has at least one disclosable event. These events include one customer complaint, alleging that Reynolds recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $188,000.00 on April 03, 2023.
Claimant alleges that firm failed to supervise representative’s recommendations and that representative made unsuitable recommendations.