Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Fredrick Randhahn (Randhahn), previously associated with Sigma Financial Corporation, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Randhahn recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on March 26, 2021.
The Division alleged Respondent violated Sections 61-1-1(2) and (3) of the Utah Uniform Securities Act (Act), Section 61-1-3(1), Section 61-1-7 and 61-1-16 of the Act.