Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dan Vismor (Vismor), previously associated with David Lerner Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Vismor 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 $125,000.00 on February 11, 2021.
The customer alleges that JP Turner allowed its Registered Representatives to recommend unsuitable investments. No dates were provided within Statement of Claim. The investments took place at the Registered Representatives prior broker/dealer