Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dennis Shidler (Shidler), previously associated with Brokers International Financial Services, LLC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Shidler 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 $20,000.00 on August 05, 2022.
Claimant claims breach of fiduciary duty and negligence by the Firm and that recommendations were unsuitable based on type of investment sold and claimant’s lack of understanding.