Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Mcmillen (Mcmillen), currently associated with Money Concepts Capital CORP, has at least one disclosable event. These events include one customer complaint, alleging that Mcmillen 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 $125,000.00 on April 03, 2023.
Customer alleges lack of suitability, breach of fiduciary duty and negligence related to the purchase of alternative investments.