Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cooper Carden (Carden), previously associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Carden 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 $48,000.00 on March 31, 2026.
Client alleged that the signatures on multiple application documents were not his and that he had never seen or reviewed those documents before. The client also alleged the representative misrepresented the purpose of applying for a variable insurance policy.