Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kendall Groom (Groom), previously associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Groom 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 $90,000.00 on February 14, 2022.
Client alleges their registered representative made unsuitable recommendations.