Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Mcwilliams (Mcwilliams), currently associated with Sei Investments Distribution CO., has at least one disclosable event. These events include one customer complaint, alleging that Mcwilliams 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 $50,000.00 on November 03, 2020.
Claimant alleges that the purchase of FS Investment Corporation III was unsuitable because of the value of this now publicly-traded company allegedly decreased. Activity period 2/2015-11/2020