Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dustin Mikkelsen (Mikkelsen), previously associated with Equity Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mikkelsen 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 $384,100.00 on March 05, 2021.
Customer alleges that the deceased Registered Representative, the customer’s former spouse, implemented an unsuitable investment strategy and made unauthorized withdrawals from the account