Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Laura Shrawder Miles (Shrawder Miles), currently associated with Kovack Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Shrawder Miles recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on May 02, 2024.
Customer alleges that an investment made in 2014 was unsuitable for the customer’s investment objectives and risk tolerance.