Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicole Alexander Duvall (Alexander Duvall), currently associated with Mwa Financial Services INC., has at least one disclosable event. These events include one customer complaint, alleging that Alexander Duvall 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 $5,000.00 on September 20, 2021.
Client alleges the January 2016 recommendation to purchase a Symetra Advantage Income Single Premium Annuity (SPIA) in the amount of $99795.08 was mispresented.