Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Heath (Heath), previously associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Heath 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 $32,021.81 on March 16, 2020.
Representative allegedly failed to follow the customer’s instructions to liquidate his account which resulted in a loss of value in the customer’s account.