Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Kearney (Kearney), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kearney recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on March 13, 2020.
Customer alleged that terms of two structured notes were misrepresented and sought rescission of investments, which have declined in value by over $5,000 since purchase in November 2019. activity date: 11/21/19.