Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Catherine Bearce (Bearce), currently associated with Nobles & Richards, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Bearce 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 $50,000.00 on December 04, 2024.
Claimant alleges the rr recommended unsuitable oil & gas investments