Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Walter Williams (Williams), currently associated with Commonwealth Financial Network, has at least one disclosable event. These events include one customer complaint, alleging that Williams 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 $75,000.00 on September 20, 2024.
Claimants allege the RR recommended an unsuitable Oil & Gas investment.
