Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Barnthouse (Barnthouse), currently associated with Smith, Moore & CO., has at least one disclosable event. These events include one customer complaint, alleging that Barnthouse 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 $30,000.00 on October 15, 2020.
Customer alleges unsuitable alternative investment recommendation. Activity Period: 2/6/2014 – 9/17/2020.