Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ivan West (West), currently associated with American Trust Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that West 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 $5,000,000.00 on May 07, 2024.
Common Law Fraud, Breach of Fiduciary Duty, Failure to Supervise, Negligence