Articles Tagged with William Blair

Broker Andrew Sims in William Blair Firm Has Customer Complaint

November 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Sims (Sims), currently associated with William Blair, has at least one disclosable event. These events include one customer complaint, alleging that Sims 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 $68,000,000.00 on September 01, 2022.

January 2021 – March 2022: Investment advisory client alleged that certain false representations were made in connection with investment activity within client advisory accounts, including the opening of such accounts.

There are Recent Customer Complaints with Broker Robert Rumley in Firm William Blair

July 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Rumley (Rumley), currently associated with William Blair, has at least one disclosable event. These events include one customer complaint, alleging that Rumley 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 $1,500,000.00 on August 31, 2023.

CLIENT ALLEGES, INTER ALIA, THAT HER ACCOUNTS WERE NOT MANAGED IN HER BEST INTERESTS 2013-2021