Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Blake (Blake), currently associated with Level Four Financial, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Blake 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 $75,000.00 on September 25, 2024.
Plaintiff alleges damages in excess of $75,000 associated with the plaintiff’s purchase of an indexed universal life insurance policy on or around May 17, 2017. Various causes of action are alleged against Craig Blake and his father, Jim Blake, and associated entities in their capacities as financial advisor (Craig Blake), accountant (Craig Blake and Jim Blake), and trustee (Jim Blake) including, breach of fiduciary duty, breach of trust, negligence, unjust enrichment and respondent superior.
