Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Turpin (Turpin), previously associated with Usa Financial Securities Corporation, has at least 2 disclosable events. These events include one customer complaint, one regulatory, alleging that Turpin recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on October 11, 2024.
Respondent Turpin failed to respond to FINRA requests for information.