Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Caster (Caster), previously associated with Vanguard Marketing Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Caster recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on May 19, 2022.
Client alleges that the Financial Advisor failed to follow her instructions to set aside their cash position to be wired out, and the funds where instead reinvested. The dates when the activities took place are April 19, 2022 thru June 21, 2022.