Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Lundgaard (Lundgaard), previously associated with Kestra Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lundgaard 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 $275,000.00 on May 22, 2024.
Claimant alleges Lundgaard failed to obtained required documentation for the Talma Arntz and the Gerald L. Arntz Revocable Trust.