Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Cleek (Cleek), currently associated with Valic Financial Advisors, INC., has at least one disclosable event. These events include one customer complaint, alleging that Cleek recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $12,059.15 on January 08, 2021.
Clients allege they requested their registered representative move their accounts on October 20, 2020 to a short-term fixed interest fund. The requested transactions were not performed by the registered representative, causing their accounts to incur market losses.