Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Kemps (Kemps), previously associated with Great Point Capital LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kemps 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 $400,000.00 on April 12, 2023.
Unsuitable, speculative, illiquid – 2014-2015