Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Lamont (Lamont), previously associated with Whitehall-parker Securities, INC., has at least 4 disclosable events. These events include 3 customer complaints, one regulatory event, alleging that Lamont recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000.01 on June 30, 2021.
Unsuitability of investments recommended.