Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Pearson (Pearson), previously associated with Principal Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Pearson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $5,001.00 on February 29, 2024.
The complainant alleges negligence, breach of fiduciary duty, conversion, forgery and fraud, beginning on/or about September 2003, relative to an IRA account, Variable and Fixed Annuities.