Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Caparco (Caparco), currently associated with Allstate Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Caparco recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on September 10, 2021.
Representative informed the customers their would not be any tax consequence upon the liquidation and transfer of assets in their Individual and Joint brokerage accounts. Activity occurred in September 2021.