Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shane Hopkins (Hopkins), previously associated with Foreside Fund Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Hopkins 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 $200,000.00 on April 07, 2020.
Claimants assert claims of negligence, negligent supervision, breach of contract, breach of fiduciary duty and violation of FINRA Rules relating to purchase of a master limited partnership. Individual is not named as a party in the arbitration and time frame is approximately 2014 – early 2015.