Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Banks (Banks), previously associated with Private Client Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Banks recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on May 02, 2024.
Customer alleges that an investment made in 2014 was unsuitable for the customer’s investment objectives and risk tolerance.