Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Glenn Bridwell (Bridwell), previously associated with Fbl Marketing Services, LLC, has at least one disclosable event. These events include one tax lien, alleging that Bridwell recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on September 04, 2024.
Without admitting or denying the findings, Bridwell consented to the sanction and to the entry of findings that he exercised discretionary power to effect transactions in customer accounts without obtaining prior written authorization from the customers and without his member firm having accepted the accounts as discretionary.
