Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Rumley (Rumley), currently associated with William Blair, has at least one disclosable event. These events include one customer complaint, alleging that Rumley 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 $1,500,000.00 on August 31, 2023.
CLIENT ALLEGES, INTER ALIA, THAT HER ACCOUNTS WERE NOT MANAGED IN HER BEST INTERESTS 2013-2021