Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Franklin (Franklin), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Franklin recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on November 16, 2020.
Claimant alleges unsuitable investment recommendations.