Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Harrison (Harrison), currently associated with Key Investment Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Harrison 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 $5,000.00 on November 18, 2022.
Administrator of the client’s estate alleges the September 2020 recommendation to 1035 exchange a Pacific Life VA to an Integrity Life SPIA in the amount of $101,473.96 was poor advice