Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Heath Bowen (Bowen), previously associated with Allegis Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bowen recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $10,500,000.00 on November 23, 2022.
Bowen was named in a customer complaint that asserted the following causes of action: Utah Uniform Securities Act, Utah Code\\u00a7 61-1-22; failed to establish reasonable supervisory procedures and reasonably supervise; unsuitable transactions; Lack of Supervision; Breach of Fiduciary Duty; Negligent Failure to Supervise; and Negligence Per Se.