Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Bush (Bush), currently associated with Capital Investment Group, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bush recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on March 18, 2024.
Per the Form U5 filed by LPL Financial, the customers allege that investments made in 2014 were unsuitable for their father’s investment objectives and risk tolerance.