Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Simmons (Simmons), currently associated with Ingalls & Snyder, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Simmons recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on June 08, 2020.
Poor performance with particular focus on the first quarter of 2020. Customer also alleged failure to communicate on a timely basis, failure to follow instructions and breach of fiduciary duty.