Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bernard Waters (Waters), previously associated with Herbert J. Sims & Co, INC., has at least one disclosable event. These events include one customer complaint, alleging that Waters 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 $100,000.00 on November 13, 2023.
Statement of claims alleges that investments were not in the best interest of the customer.