Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Steiner (Steiner), previously associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Steiner recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on March 03, 2021.
Client expresses concern about the amount of trading activity in his accounts and alleges the financial professional did not contact him prior to placing trades from 2012 – 2021.