Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shay Scruggs (Scruggs), currently associated with Rockefeller Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Scruggs recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on December 19, 2023.
Client alleges poor performance of accounts.