Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Abraham (Abraham), currently associated with Hornor, Townsend & Kent, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Abraham recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on December 07, 2023.
The complainant alleges that the registered representative surrendered her Fixed Annuity, with a Variable Annuity, on/or about November 21, 2022, without her permission, resulting in a surrender charge and loss of bonus money, and forged her signature on the Variable Annuity application to complete the transaction.