Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Aaron Stark (Stark), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stark 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 $15,468.67 on October 17, 2023.
Customers allege that in or around December 2022, the Representative misled them when he recommended that they roll over their retirement accounts to Northwestern Mutual brokerage and advisory accounts and sold non-variable whole life insurance policies as investments. Customers feel their accounts have underperformed compared to their previous accounts.