Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Coombe (Coombe), currently associated with Robert W. Baird & CO. Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Coombe recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a award / judgment customer complaint on January 12, 2022.
Claimants, who are trust beneficiaries, allege the FA failed to reinvest trust assets on the date agreed upon by the Trustee and the Beneficiaries, and that such failure resulted in the Trust missing out on market gains.