Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Martin Berman (Berman), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Berman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on October 24, 2023.
Claimant generally alleges suitability, fiduciary duty, breach of contract, failure to supervise and financial elder abuse.