Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ushir Mehta (Mehta), previously associated with Td Ameritrade, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mehta 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 $54,531.13 on August 22, 2022.
Client alleges representative did not disclose fees associated with an advised offering in 2013 and requested a refund of fees in the amount of $54,531.13