Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stefan Tunaru (Tunaru), currently associated with Equity Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Tunaru recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on March 20, 2023.
Customer alleges that the recommendation to rollover contributions to her variable annuity in April and June 2022 was not consistent with her needs given her age and retirement. Customer has requested that the funds be moved to another product without incurring fees.