Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Holmes (Holmes), previously associated with Concourse Financial Group Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Holmes 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 $512,000.00 on October 04, 2021.
Claimant seeks compensatory damages under MetLife DI policy alleging that his addiction to alcohol is a disability under which the policy should pay claims. Allegation of breach of contract and misrepresentation by agent. Policy was purchased April 1, 2002. Claim originally made in 2018.