Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kunal Vyas (Vyas), currently associated with Tiaa-cref Individual & Institutional Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Vyas recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on May 11, 2020.
The client alleges that he was explicitly clear on March 10, 2020 that they wanted all of their investments out of the stock market, the transactions were not completed until March 26, 2020 and due to the delay, experienced lost account value as a result.