Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kiffin Anderson (Anderson), previously associated with Brokers International Financial Services, LLC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Anderson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on March 05, 2024.
Clients allege that the representative; ignored their requests to not invest in annuities, while failing to disclose surrender fees and contract expenses, the representative’s suspension status and his change of broker/dealer impacted their ability to access the funds without surrender charges for the intention of investing in CDs.