Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carlos Garcia (Garcia), currently associated with Kovack Securities Inc., has at least one disclosable event. These events include one customer complaint, alleging that Garcia 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 $107,000.00 on October 17, 2024.
Client expressed dissatisfaction with RR’s hold recommendation which resulted in unrealized losses.
