Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Walter Squires (Squires), previously associated with Osaic Institutions, Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Squires recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $300,000.00 on August 07, 2024.
Claimant alleges two alternative investments purchased in 2014 were illiquid and risky.