Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Philipkosky (Philipkosky), previously associated with Cetera Advisor Networks LLC, has at least one disclosable event. These events include one customer complaint, alleging that Philipkosky 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 $260,000.00 on August 07, 2023.
TRUSTEE ALLEGES REP ASSISTED [REDACTED] WITH MAKING A CHANGE TO HER TRUST IN OCTOBER 2019 AT WHICH TIME TRUSTEE CLAIMS SHE WAS NOT OF SOUND MIND. TRUSTEE FURTHER ALLEGES THE CHANGE WAS DETRIMENTAL TO HIM BECAUSE HE COULD NOT SELL CERTAIN PROPERTY AS INTENDED. TRUSTEE ALSO ALLEGED THAT RR HAD [REDACTED]’S SIGNATURE NOTARIZED IMPROPERLY.