Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Keith Patterson (Patterson), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Patterson 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 $5,000.00 on August 05, 2021.
Claimants alleged unsuitability of alternative investment which caused financial harm. The allegations include unsuitability, fraud, breach of contract, breach of fiduciary duty, negligence and violation of laws.