Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Ealy (Ealy), currently associated with Cetera Advisor Networks LLC, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Ealy 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 November 01, 2024.
Liquidity, investment purpose, and risk tolerance. Further, the investment was misrepresented to client.