Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dwayne Bullen (Bullen), previously associated with Vcs Venture Securities, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Bullen recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on July 12, 2022.
Respondent Bullen failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.