Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Schmidt (Schmidt), currently associated with Realized Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Schmidt recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on February 13, 2023.
Claimant alleges failure to conduct reasonable due diligence and disclosure on NP Skyloft DST