Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Lyons (Lyons), currently associated with Gms Group, has at least one disclosable event. These events include one customer complaint, alleging that Lyons 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 $35,000.00 on June 05, 2023.
Client alleged that their purchases of preferred stocks on 7/1/21 were unsuitable as they alleged they were looking for principal protection.