Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Flynn (Flynn), previously associated with Trident Partners Ltd., has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Flynn recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on December 23, 2021.
Respondent Flynn failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.