Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Susan Duke (Duke), previously associated with Transamerica Financial Advisors, Inc, has at least one disclosable event. These events include one customer complaint, alleging that Duke 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 $25,000.00 on April 24, 2023.
Claimants allege they were placed in risky speculative investments that were unsuitable for their investment portfolios.