Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kyle Franklin (Franklin), previously associated with Hilltop Securities INC., has at least one disclosable event. These events include one customer complaint, alleging that Franklin recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on September 11, 2020.
Claimants allege their financial advisor recommended unsuitable investments. Claimants allege breach of duty and contract, negligence, and failure to supervise.