Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Llewellyn Rowell (Rowell), currently associated with Hornor, Townsend & Kent, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rowell 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 $214,122.36 on March 03, 2023.
The client alleges that the variable annuity purchased in February of 2013 was an unsuitable recommendation and investment for his client’s tax-qualified funds, and a breach of ficudiary duty.