Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Casterline (Casterline), previously associated with Delta Securities Company, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Casterline 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 $100,000.00 on November 14, 2023.
Breach of contract, violation of State Securities Statues, Vicarious Liability.
