Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Natalie Kotroba (Kotroba), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Kotroba recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $26,008.00 on July 17, 2024.
The client alleges starting in January 2022, the manager failed to supervise her RR when he allegedly failed to provide investment advice or recommendations which caused her to lose money.