Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Bardin (Bardin), previously associated with Principal Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bardin recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on April 10, 2023.
The client alleges the financial professional misrepresented the variable life insurance product sold to him, which he now believes was unsuitable, resulting in a loss of return on his investment and unknown tax consequences.