Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Vieira (Vieira), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Vieira 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 $67,054.00 on March 10, 2020.
The customer alleged that the advisor failed to follow trade instructions with regard to settling 2 accounts to cash positions. Activity period: 1/8/20 through 4/9/20.