Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Farris (Farris), currently associated with Cetera Advisors LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Farris 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 $207,649.00 on October 08, 2024.
Arbitration Statement of Claim alleged excessive and unsuitable securities trading in connection with the investments purchased in 2020 – 2021. Claimant further alleges the BD supervision of the claimant’s account was inadequate.
