Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lawrence Krause (Krause), previously associated with Kw Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Krause 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 $125,000.00 on March 22, 2023.
July 21, 2022, 2,500 shares SHOP purchased @ $40.37 for client’s investment advisory account. Client subsequently claimed that the representative purchased too many shares resulting in a loss which the representative was responsible for.