Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Theodore Anderson (Anderson), previously associated with Vanguard Marketing Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Anderson 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 $114,000.00 on January 26, 2021.
Client claims that the Advisor kept him in unsuitable investments and strategies which were not appropriate to his investment objectives. The reported time frame for this incident is 01/2018 through 12/31/2020.