Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Neil Lance (Lance), currently associated with Advanced Advisor Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lance 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 $653,187.00 on July 26, 2023.
Claimant alleges representative recommended they invest in an unsuitable Tenants-In-Common investment in 2007