Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Robertson (Robertson), previously associated with First Allied Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Robertson 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 $100,000.00 on October 05, 2021.
Claimant alleges his financial adviser recommended unsuitable investments. Claimant generally alleges misrepresentation, breach of duty and contract, and negligence.