Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Travis Riggs (Riggs), previously associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Riggs recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on December 31, 2020.
Claimant alleges RR made unsuitable recommendations of investments within his IRA.