Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sanjay Mathur (Mathur), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mathur recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on November 06, 2024.
Client complains that Financial Advisor recommended investments in a high risk foreign security despite client’s age and retirement timeline. (10/15/2015-3/20/2024)