Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Kennon (Kennon), previously associated with First Allied Securities, INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Kennon 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 $100,000.01 on July 22, 2021.
Claimant alleges their registered representative recommended unsuitable investments. Claimant generally alleges unsuitability, due diligence, breach of contract, negligence, and fraud.