Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Devin Patel (Patel), currently associated with Sanford C. Bernstein & Co., LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Patel recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on January 17, 2025.
The customer alleged unsuitable investment recommendations, unfair or deceptive acts or practices, fraud, false and misleading representations and omissions, conspiracy, breach of contract, and unjust enrichment.
