Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Lemak (Lemak), currently associated with Axiom Capital Management, INC., has at least one disclosable event. These events include one customer complaint, alleging that Lemak recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $475,000.00 on July 29, 2024.
Breach of fiduciary duty, violations of securities laws and FINRA rules, professional negligence.