Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Weinberger (Weinberger), currently associated with Cetera Financial Specialists LLC, has at least one disclosable event. These events include one customer complaint, alleging that Weinberger recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on April 02, 2024.
Client alleges he was unaware a Roth conversion recommended by the rep created an unknown tax consequence