Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Martin Walcoe (Walcoe), currently associated with David Lerner Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Walcoe 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 $100,000.00 on January 04, 2021.
Unsuitability, misrepresentation/omission, breach of fiduciary duty \\u00e2? “E11, E12, SOAEX