Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marc Alkes (Alkes), currently associated with Variable Investment Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Alkes recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on January 31, 2023.
Client purchased 2 mutual funds and market went down and he cashed them out at a loss