Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Kaup (Kaup), previously associated with Cetera Advisor Networks LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Kaup recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on January 12, 2021.
Claimants allege that their registered representative recommended unsuitable investments