Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Johnson (Johnson), previously associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Johnson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on July 19, 2022.
Claimants allege unsuitable recommendations, misrepresentation, breach of fiduciary duty, negligence, and failure to supervise.