Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Norris (Norris), currently associated with Robert W. Baird & CO. Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Norris 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 $222,320.00 on April 23, 2024.
Client Alleges the Financial Advisor failed to follow his instructions.