Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Bass (Bass), currently associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bass 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 $200,000.00 on December 02, 2020.
Customer alleged the RR provided incorrect information related to a defined benefit plan, which resulted in the plan incurring tax consequences.