Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shirley Coria (Coria), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Coria 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 $1,521,706.00 on November 10, 2023.
Claimant(s) allege that representative recommended investments that were largely concentrated in illiquid, speculative, low-quality, and high commission non-traded real estate investment trusts and Business Development Companies.