Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Ridgley (Ridgley), previously associated with International Assets Advisory, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ridgley 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 $135,996.99 on May 19, 2023.
BREACH OF COMMON LAW DUTY, VIOLATION OF PERTINENT RULES, VIOLATIONS OF SEC ACT OF 1934 (10B), BREACH OF EXPRESSED OR IMPLIED FIDUCIARY RESPONSIBILITY.