Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Fles (Fles), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fles 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 $25,000.00 on January 05, 2021.
Claimant alleges their registered representative recommended unsuitable investments