Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Barry Mills (Mills), currently associated with A.g.p. / Alliance Global Partners, has at least one disclosable event. These events include one customer complaint, alleging that Mills recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on December 07, 2023.
Client was upset about what she felt were unauthorized trades in her account. The client believed that her accounts was self directedbut had signed a trading authorization form when she opened her accounts on April 14, 2023. This document gave her rep the abilityto use discretion. After reviewing the situation the firm decided that based on the apparent confusion as to whether she would be contacted regarding the trading of any legacy positions the firm proposed a settlement to the client which was accepted.