Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Mcleod (Mcleod), previously associated with Intervest International Equities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Mcleod 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 $30,000.00 on August 26, 2020.
Client alleged negligence, professional negligence, violations of law, unsuitable recommendations, negligent supervision, breach of contract, breach of fiduciary duty, and breach of securities industry law and rules related to two (2) non-traded real estate investment trusts purchased by client on or about June 2016