Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Douglass (Douglass), currently associated with Arkadios Capital, has at least one disclosable event. These events include one customer complaint, alleging that Douglass 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 $900,000.00 on May 14, 2021.
Claimant, through Power of Attorney, alleges the registered rep recommended an unsuitable investment. Activity dates 2008-2021.