Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Theodore Manly (Manly), currently associated with W & s Brokerage Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Manly 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 $5,032.00 on June 15, 2021.
Customer alleges that he was misled when he was assured that the liquidation of his mutual fund shares to purchase a variable annuity in December 2020 would not create a taxable event. Client seeks reimbursement of accountant fees and taxes paid.