Securities Lawyers Blog
According to BrokerCheck records kept by the Financial Industry Regulatory Authority (FINRA), broker Brent Van Lott (Lott) is being investigated for allegedly violating FINRA rules. Lott has also been subject to three customer disputes.
In January 2016, a customer alleged Lott initiated trades without the customer’s written consent. This dispute was settled for $50,000.
In March 2014, a customer alleged that a third party, acting in concert with Lott, forged the customer’s signature on contracts to acquire insurance policies. This dispute is pending.