Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kelly Lawson (Lawson), currently associated with Arete Wealth Management, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lawson 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 $100,001.00 on August 23, 2023.
The Statement of Claim names Portsmouth Financial as the respondent. Rep is named as account executive responsible for handling the transactions. Claims against the firm (Respondent) include Violation of FINRA Rules of Fair Practice, Unsuitable recommendations, and Supervision and Disclosure failures.