Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Herbert White (White), currently associated with Lifemark Securities Corp., has at least one disclosable event. These events include one customer complaint, alleging that White 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 $50,000.00 on December 20, 2023.
Attorneys representing the client allege that certain investment recommendations were not in keeping with the client’s needs and objectives, and that they were not adequately described to the client.