Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mrunal Patel (Patel), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, 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 with a damage request of $33,927.71 on December 16, 2024.
Client contends that, in 2024, her Financial Advisor sold shares of Apple Inc. (AAPL) in her brokerage account without prior authorization.
