Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brandon Capps (Capps), currently associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Capps recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $750,000.00 on April 06, 2026.
Clients allege the RR misrepresented the performance of advisory products and relayed inaccurate and misleading fee and compensation information. The firm denied the complaint. Customers later filed litigation and arbitration based on the same allegations, seeking damages to be determined.