Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Beaudoin (Beaudoin), currently associated with Great Point Capital LLC, has at least one disclosable event. These events include one customer complaint, alleging that Beaudoin recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on June 21, 2021.
The clients allege the investments they purchased from 2014-2019 were unsuitable and misrepresented by the representative. The client also alleges the firm failed to conduct adequate due diligence and had an inadequate supervisory system.