Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Becker (Becker), currently associated with Money Concepts Capital CORP, has at least one disclosable event. These events include one customer complaint, alleging that Becker recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $88,671.00 on March 12, 2026.
Statement of Claim alleges RR failed to advise customer about the window of time she had to transfer her Defined Benefits which allegedly caused her to incur unanticipated tax liabilities.