Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Lawler (Lawler), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lawler recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on July 07, 2023.
Claimant alleges alternative product recommendations were not suitable and that full disclosures were not made to her.
