Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Barbara Fox (Fox), previously associated with Suntrust Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Fox 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 $27,500.00 on June 22, 2022.
Customer alleges loan was made to the advisor in the amount of 27,500, and advisor did not repay. Firm received copy of loan agreements and payments made to advisor.