Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Darcie Goins (Goins), previously associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Goins 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 $170,000.00 on October 18, 2023.
The claimant alleges that in 2015 the representative sold high-commission, complex, risky, illiquid alternative investments which were unsuitable and misrepresented to him. The client further alleges that the representative and Firm failed to conduct adequate due diligence.