Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cyrus Baravati (Baravati), currently associated with Charles Schwab & Co., Inc., has at least one disclosable event. These events include one customer complaint, alleging that Baravati 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 $25,286.38 on November 10, 2024.
The client alleges he was misled about a transfer of accounts from another firm. The client claims that he was advised the transfer would be in-kind and not incur any tax consequences.
