Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marcus Henderson (Henderson), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Henderson 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 $5,000.00 on September 02, 2021.
Customer alleges that representative gave poor advice with regard to the withdrawal, and subsequent exchange, from a Variable Life Policy to a Universal Life Policy resulting in a tax liability.