Articles Tagged with Thomas Kieffer

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Kieffer (Kieffer), previously associated with Ceros Financial Services, INC., has at least 2 disclosable events. These events include 2 customer complaints, 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 $135,000.00 on July 07, 2020.

Customer filed a deficiency notice 7/2/2020 claiming breach of duties by Thomas Kieffer

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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

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