Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Anderson (Anderson), previously associated with Benchmark Investments, LLC, has at least 4 disclosable events. These events include one customer complaint, 3 regulatory events, alleging that Anderson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on June 17, 2024.
The Commission denied Mr. Anderson’s IAR application because the permanent bar imposed by FINRA upon Mr. Anderson constitutes an order of an SRO revoking his registration as a broker in securities for at least 6 months within the meaning of A.R.S. \\u00a7 44-3201(A)(10) and denial of Mr. Anderson’s IAR application is in the public interest within the meaning of A.R.S. \\u00a7 44-3201(A).