Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Connell (Connell), previously associated with Mid-atlantic Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Connell recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on July 14, 2020.
Client alleged that loans were made to Plymouth Farms at the recommendation of RR, who is now deceased. RR allegedly misrepresented the financial condition of the investment.