Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Armstrong (Armstrong), previously associated with D.h. Hill Securities, Lllp, has at least one disclosable event. These events include one customer complaint, alleging that Armstrong 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 $175,000.00 on June 30, 2021.
Client alleges unsuitable recommendations and investment strategy, material misrepresentation, failure to supervise, and breach of contract for products sold to spouse between 2013 to 2015.