Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Ford (Ford), currently associated with Maxim Group LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ford 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 $8,432.34 on October 14, 2020.
Client alleges that, from September 2020 to October 2020, the RR did not follow instructions to liquidate the client’s entire portfolio in a timely manner. The Firm disagrees with the client’s allegations; however, in order to avoid costly use of Firm resources, the Firm entered into a settlement.