Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Asano (Asano), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Asano 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 $500,000.00 on September 09, 2022.
Claimants allege financial adviser recommended unsuitable investments. Claimants further allege causes of action of suitability, misrepresentation, breach of contract and failure to supervise.