Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Hennion (Hennion), currently associated with Hennion & Walsh, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hennion recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on November 22, 2023.
Client alleged fixed income portfolio not managed for growth of income, historical losses and decreased income, violation of fiduciary responsibility, turn rate, recommendation to withdraw more money than account generated and poor management.