Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Sullum (Sullum), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Sullum recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on April 05, 2022.
Claimant alleges the RR recommended an unsuitable Oil & Gas investment.