Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Haskell (Haskell), currently associated with Rm Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Haskell 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 $250,000.00 on November 14, 2023.
From investment activity in 2019, claimant alleges the following: failure to conduct reasonable due diligence, negligence, failure to make material disclosures, failure to conduct suitability, misrepresentation and omissions, branch of contract, breach of fiduciary duty.