Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Stier (Stier), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Stier 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 $48,008.00 on November 17, 2021.
Client alleges that instructions provided to the representative to buy to close 11 Tesla contracts were not followed, resulting in a monetary loss.