Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shannon Roehrs (Roehrs), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Roehrs recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $2,377,594.00 on November 27, 2024.
Claimaint alleges unauthorizing trading, unsuitable investment recommendation, misrepresentation and failure to act in the customer’s best interest in July 2020.