Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Derek Bohm (Bohm), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bohm 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 $90,460.83 on April 09, 2026.
Claimant alleges the advisor's acceptance of verbal authorization from the joint account holder to transfer funds to the joint account holder's individual account, constitutes an unauthorized transfer.