Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Boyer (Boyer), previously associated with J. Alden Associates, INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Boyer recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on September 21, 2021.
Without admitting or denying the findings, Boyer consented to the sanction and to the entry of findings that he refused to provide information and documents requested by FINRA related to a matter that originated that from a Form U4 amendment filed by his member that disclosed a customer complaint alleging that he established multiple accounts that the complainant wasn’t in a financial position to purchase and that the complainant never reviewed nor signed some of the applications for these products, which were later found to contain false information.