Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Weeks (Weeks), previously associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Weeks 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 $800,000.00 on February 14, 2024.
Claimant alleges breach of fiduciary duty, negligence, and violations of the Kansas Securities Act for options trading from June 2018 through June 2023.