Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Keith Wells (Wells), currently associated with Equity Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Wells recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on March 12, 2024.
Plaintiff alleges purchased variable annuity policy was misrepresentated – actions necessary to preserve and maintain the guaranteed minimum death benefit and guaranteed minimum income benefit provided through the variable annuity.