Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Fuller (Fuller), currently associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Fuller recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on August 04, 2022.
Client alleges FP failed to meet services expectations, traded funds that locked in unnecessary losses and did not monitor her accounts appropriately.