Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Bryant (Bryant), previously associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bryant 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 $14,229,000.00 on April 04, 2024.
On April 4, 2024 and July 9, 2024, Dr. Bryant received customer complaints related to the recommendation of a potential franchise opportunity, WaterStation Technology, a water vending machine franchise. The complaints alleged that Dr. Bryant breached his fiduciary duty and failed to disclose a material conflict related to the recommendation. All complaints were settled in mediation before any arbitration or civil complaint was initiated. Dr. Bryant denies all liability related to these claims.