Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Aaron Bell (Bell), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bell 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 $124,000.00 on June 03, 2024.
FINRA arbitration alleging representative recommended a speculative stock and under management of representative and NMIS the customer’s account went from being relatively diversified to highly concentrated in just two speculative stocks and sustained financial losses.