Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Trimble (Trimble), currently associated with Charles Schwab & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Trimble 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 $650,000.00 on November 22, 2022.
The client alleges in 2019 and 2020, the representative recommended bonds that were not suitable for the Trust’s investment objectives.