Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sandra White (White), previously associated with Mercer Allied Company, L.p., has at least one disclosable event. These events include one customer complaint, alleging that White 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 $30,000.00 on August 05, 2020.
In a claim brought against a prior firm, Claimant alleged that Ms. White made unsuitable investment recommendations while she was registered with that prior firm. The claim also alleged that the prior firm did not perform adequate due diligence on products sold or provide proper supervision.