Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kathy Busch (Busch), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Busch 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 $50,000.00 on November 20, 2023.
Claim alleges investment was not suitable and was not in line with Claimant’s investment objectives and risk tolerance.