Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kyle Cunningham (Cunningham), currently associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cunningham 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 $13,000.00 on August 12, 2020.
Customers allege that in or around April 2019 the representative advised them incorrectly regarding the tax consequences of a 401k rollover and backdoor Roth contributions which resulted in unexpected tax liabilities for the customers.