Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Russell Thompson (Thompson), currently associated with Regulus Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Thompson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on August 12, 2021.
Customer Alleges that the rep did not fully disclose all the facts regarding surrender charges and improper application handling.