Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Shawver (Shawver), previously associated with Peak Brokerage Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Shawver recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $100,000.01 on June 14, 2022.
Allege investments were not suitable in light of the clients’ age, investment objectives and risk tolerance