Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Brinton (Brinton), previously associated with Zermatt Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Brinton 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 $1,200,000.00 on July 03, 2024.
Former customer alleges breach of fiduciary duty in connection with the management of advisory assets between July 2021 to February 2022.