Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Grace Henderson (Henderson), previously associated with Pnc Investments, has at least one disclosable event. These events include one customer complaint, alleging that Henderson 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 $28,547.00 on April 19, 2023.
Client alleges representative did not make her aware of potential taxes on sale of assets to open an advisory account