Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Aiken (Aiken), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Aiken 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 $16,424.22 on May 03, 2022.
Client looking for short term production better than bank CD, but wanted principal guarantee as assets were to be used to purchase a home. Value decreased