Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Elizabeth Friant (Friant), previously associated with Fnex Capital, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Friant recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on October 26, 2023.
Claimants allege negligence, failure to conduct reasonable basis suitability, and breach of fiduciary duty.