Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lawrence Waller (Waller), previously associated with Stonex Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Waller 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 $135,000.00 on November 09, 2023.
Claimant alleges breach of fiduciary duty caused by failure to properly asset allocate and diversify assets.