Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Sharp (Sharp), currently associated with J. Alden Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sharp recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on November 15, 2021.
Claimants alleged the alternative investments they purchased in years 2013, 2014 and 2015 were misrepresented and not suitable.