Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hans Eveillard (Eveillard), previously associated with Alight Financial Solutions, LLC, has at least 3 disclosable events. These events include 3 regulatory events, alleging that Eveillard recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on December 30, 2022.
The findings stated that this matter originated from a customer complaint filed with FINRA [concerning a promissory note that Respondent facilitated, according to Respondent’s FINRA Central Registration Depository (CRD) #2198239]. Respondent refused to appear for this testimony, in violation of FINRA Rules 8210 and 2010