Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shawn Hawke (Hawke), previously associated with Paychex Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Hawke recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on September 25, 2020.
Client alleges an insurance policy sold by the RR in 2017 was unsuitable.