Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dale Norton (Norton), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Norton 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 $50,000.00 on December 01, 2021.
Allege investment was not suitable and was not in line with clients’ investment objectives.