Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frank Kuiper (Kuiper), currently associated with Concorde Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kuiper recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on September 01, 2023.
Customer alleges violation of California Common Law Fraud, Breach of Fiduciary Duty, Negligence and Negligent Failure to Supervise relating to the investments made on 08/31/2020.