Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Henning (Henning), currently associated with Key Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Henning 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 $5,706.33 on March 25, 2021.
Client faxed letter to carrier alleging RR misrepresented features of the Jackson National variable annuity purchased 3/16/21 in the amount of $250,000.00 and is requesting return of premium.