Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Moultrie (Moultrie), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Moultrie recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on June 30, 2023.
Claimant alleges their registered rep misrepresented the investments