Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Brothers (Brothers), currently associated with Maxim Group LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Brothers 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 $1,000,000.00 on July 23, 2024.
The customer alleges that due to alleged misrepresentations and breaches of fiduciary duties he and his limited liability company incurred losses in excess of $1,000,000.