Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Brody (Brody), currently associated with Planned Financial Programs, INC., has at least one disclosable event. These events include one customer complaint, alleging that Brody 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 $340,000.00 on August 20, 2020.
08/2015-12/2015\<char_lb_r>\, Failure to provide suitable investments, misrepresentation