Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Levin (Levin), previously associated with Corecap Investments, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Levin 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 $99,999.00 on September 07, 2021.
The client alleges the investments he purchased between 2012-2015 were unsuitable and misrepresented to him by the representative. The client further alleges the firm failed to supervise the actions of the representative and failed to conduct adequate due diligence.