Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Clifford Virgin Iii (Virgin Iii), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Virgin Iii 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 March 30, 2023.
Time frame: 2019-2021 Allegations: Claimant alleges unsuitability of certain investments and that such investments resulted in principal losses