Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Armour (Armour), currently associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Armour 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 $150,000.00 on November 28, 2022.
Suitability, Breach of Fiduciary Duty, Lack of Due Diligence, Lack of Supervision related to Bakkan Drilling Fund investments in 2013.