Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patricia Holder (Holder), currently associated with Insigneo Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Holder recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on June 27, 2025.
Claimant alleges inter alia, unsuitable investment recommendations and violations of Reg BI with respect to securities-backed line of credit strategy 2014-2024