Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Standley (Standley), previously associated with D.h. Hill Securities, Lllp, has at least one disclosable event. These events include one customer complaint, alleging that Standley 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 $190,000.00 on August 09, 2022.
Client alleges that in Nov. 2019 representative recommended GWG L-Bonds that was unsuitable. Claimant alleges failure to conduct reasonable due diligence, unsuitable recommendation, violation of securities laws, breach of contract, common law fraud, breach of fiduciary duty, and negligence.