Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Heath Grossman (Grossman), previously associated with Silver Oak Securities, Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Grossman 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 $80,000.00 on November 24, 2020.
Customer allegations against Silver Oak Securities include failure to supervise, suitability rule violations and failure to conduct adequate due diligence.