Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Sims (Sims), currently associated with William Blair, has at least one disclosable event. These events include one customer complaint, alleging that Sims 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 $68,000,000.00 on September 01, 2022.
January 2021 – March 2022: Investment advisory client alleged that certain false representations were made in connection with investment activity within client advisory accounts, including the opening of such accounts.