Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Arlein (Arlein), previously associated with Cabot Lodge Securities LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Arlein 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 $267,000.00 on January 16, 2025.
Claimant alleges negligence, breach of fiduciary duty, and negligent supervision regarding the purchase of GWG L-Bonds during 2018.
