Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Keeling (Keeling), previously associated with Planmember Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Keeling 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 $13,285.00 on April 27, 2022.
Client alleged that advice provided by the representative resulted in an undiscussed capital gains impact on their taxes.