Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Becky Mathre (Mathre), previously associated with D.h. Hill Securities, Lllp, has at least one disclosable event. These events include one customer complaint, alleging that Mathre 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 $1,000,000.00 on November 02, 2021.
Claimant alleges violation of FINRA rules 2110 and 2111, negligence, misrepresentation, breach of fiduciary duty, and failure to supervise.