Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Sanders (Sanders), previously associated with Cabot Lodge Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Sanders 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 $300,000.00 on October 20, 2020.
The claimant alleges the a breach of contract and warranties, violation of state securities statutes, breach of fiduciary duty, negligence and gross negligence, misrepresentation/omission, unjust enrichment, failure to supervise, common law and statutory claims and damages, vicarious and control personal liability.