Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Montgomery (Montgomery), currently associated with Vanguard Marketing Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Montgomery 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 $200,000.00 on March 13, 2020.
Client alleges he discussed his need for preservation of capital to build a house in the next 3-4 months but his advisor did not place adequate investment parameters on the account to preserve cash.