Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephanie Hayes (Hayes), previously associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Hayes 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 $2,009,700.00 on October 31, 2024.
Claimants allege that advisor recommended unsuitable and risky securities in unsuitable concentrations.
