Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Henderson (Henderson), previously associated with Cco Capital, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Henderson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $219,617.00 on April 29, 2026.
Investor alleged that Mr. Henderson misrepresented characteristics of an investment product to the investor\\u2019s financial advisor at an unaffiliated firm, and the investor purchased the investment through his financial advisor based on this information. Mr. Henderson did not directly interact with the investor.