Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker George Kuruvilla (Kuruvilla), currently associated with Lifemark Securities Corp., has at least one disclosable event. These events include one customer complaint, alleging that Kuruvilla recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on August 14, 2023.
The clients are alleging insufficient due diligence, unsuitability, insufficient supervision, fraud, violation of the New York Consumer Protection Act, breach of contract, breach of fiduciary duty and negligence.