Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Bologna (Bologna), currently associated with Allstate Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bologna 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.
Customers have alleged the 12/31/2019 UIT purchases in their IRA accounts were unauthorized by them and have requested to be made whole from any commissions.