Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Jacob (Jacob), previously associated with Saxony Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Jacob 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 $9,000.00 on April 16, 2021.
Claimants alleged the representative failed to make\<char_lb_r>\, suitable recommendations and failed to conduct adequate due diligence before recommending investments.