Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Collins (Collins), previously associated with Union Capital Company, has at least one disclosable event. These events include one customer complaint, alleging that Collins recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on November 10, 2020.
Violation of Common Law Fraud, Breach of Fiduciary Duty, Negligence.