Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Sargent (Sargent), currently associated with Stonehaven, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Sargent 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 $400,000.00 on April 26, 2021.
Unreasonable investment recommendations and breached their fiduciary duties