Securities Lawyers Blog
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Michael Boothe (Boothe), previously associated with International Assets Advisory, LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Boothe concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $960,000.00 on December 21, 2023.
Fraud, excessive trading/commissions, unauthorized trading, breach of fiduciary duty, unsuitability, breach of contract, negligence, unjust enrichment 2014-2018