Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Bristoll (Bristoll), currently associated with Vanguard Marketing Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Bristoll recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on August 09, 2022.
The client gave specific instructions to not sell shares of John Marshal Bancorp for investing purposes when establishing managed plan. When plan was funded, John Marshal Bancorp was included in the sell transactions and subsequent shares were sold during systematic rebalancing of account per financial plan. The alleged activity took place between December, 2020 and May, 2022.