Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Baldeo (Baldeo), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Baldeo recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on November 22, 2021.
The customer alleges failure to follow instructions, unauthorized trading and that the Financial Advisor was not acting in his best interests from May 2021 until November 2021.