Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Alford (Alford), previously associated with Tiaa-cref Individual & Institutional Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Alford recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on March 24, 2020.
The clients state that ‘I have to ask why the request we made last fall has not been completed.’ The clients allege that they spoke with the representative in October 2019 and requested a full account liquation which has not been completed. The client further states ‘we obviously shouldn’t pay the price for the delays on the part of TIAA.’