Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cindy Mo (Mo), currently associated with Cetera Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mo recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on September 27, 2024.
The customer purchased a Prudential IUL policy based on representations that it included a no-lapse guarantee until age 120, but it was later discovered that the policy’s no-lapse guarantee only extended for 20 years, leading to dissatisfaction and the need to pursue a new policy with the desired terms.
