Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Seth Waltman (Waltman), currently associated with M. S. Howells & CO., has at least one disclosable event. These events include one customer complaint, alleging that Waltman 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 $318,167.80 on July 14, 2022.
[REDACTED] ALLEGES THAT HE DID NOT AUTHORIZE SETH WALTMAN, REGISTERED REPRESENTATIVE, TO REALLOCATE HIS VARIABLE ANNUITY SUB-ACCOUNTS IN MARCH 2020