Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jon Lindberg (Lindberg), previously associated with Proequities, INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Lindberg 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 $50,000.00 on December 06, 2021.
Client alleges that representative recommended unsuitable options transactions resulting in portfolio losses.