Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kristine Howell (Howell), previously associated with Sigma Financial Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Howell 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 $5,000,000.00 on September 14, 2020.
Statement of claim alleges in 2014, Claimant’s assets were invested in alternative investments which were unsuitable and inappropriate given her unique financial situation and investment objective.