Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Taylor (Taylor), previously associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Taylor 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 $15,771.00 on June 30, 2023.
Customer alleges that in or around August 2021, the Representative failed to act in the customer’s best interests when the Representative recommended the customer purchase a variable universal life insurance policy that the customer alleges is not suitable for their needs and goals.