Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Norris (Norris), currently associated with Arkadios Capital, 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 settled customer complaint on March 01, 2022.
The complainant alleges that the tax consequences, associated with the Variable Annuities issued on or around December 16, 2021, were misrepresented.