Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Noel Bragg (Bragg), currently associated with American Trust Investment Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bragg 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 $50,000.00 on May 16, 2023.
Breach of fiduciary duty, Negligence and Negligent Misrepresentation, Breach of Contract, Failure to supervise, and Violation of Regulation Best Interest.