Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Yount (Yount), currently associated with Copper Financial, has at least one disclosable event. These events include one customer complaint, alleging that Yount 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 $800,005.00 on November 01, 2021.
Client alleges RR made unsuitable recommendation to purchase a variable annuity in 2014 and to make an subsequent investment into the annuity in 2015 and also that RR made material misrepresentations and omissions regarding the annuity.