Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robin Platt (Platt), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Platt 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 $1,250,000.00 on May 04, 2021.
The customer alleges that the NorthStar annuities that were recommended for him in 2016 were unsuitable and that certain information regarding NorthStar’s products was misrepresented.