Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Szeszulski (Szeszulski), currently associated with Money Concepts Capital CORP, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Szeszulski 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 $52,000.00 on August 09, 2021.
The customer alleges unsuitable recommendations in violation of FINRA Rule 2111, Material misrepresentations and omissions in violation of Federal Law, Kentucky Blue Sky Laws and FINRA Rule 2020, and Violation of Fiduciary Duty. Based on the information available, the firm feels the investment was suitable for the customer’s financial profile. The firm and Financial Professional intend to vigorously defend themselves in this matter.