Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Kieffer (Kieffer), currently associated with IBN Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kieffer 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 $400,000.00 on November 07, 2022.
Inadequate due diligence of product, failure to disclose possible program risks