Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carolyn Wyatt (Wyatt), currently associated with Western International Securities, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Wyatt 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 $198,037.00 on October 21, 2024.
Client claims the rep failed to conduct a reasonable due diligence on the security.
