Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Susan Coriale (Coriale), currently associated with Gwn Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Coriale recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $264,205.00 on October 17, 2023.
Client is alleging that in 2021 representative, Susan Coriale, failed to provide adequate tax advice for a recommendation that was given to the client to move her assets from a tax deferred annuity to a non- tax deferred joint mutual fund account causing the client to incur a substantial tax liability as well as having a negative impact on the client Social Security income and Medicare benefits. \, Client also alleges that a secondary recommendation was made to the client in 2022 to help mitigate the initial tax consequence, resulting in additional tax liabilities for the client.