Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gunnar Gavin (Gavin), currently associated with Bankers Life Securities, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Gavin recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $45,000.00 on September 18, 2023.
In a written complaint received on September 18, 2023 , addressed to Bankers Life and Casualty Company (BLC), an affiliated insurance company, client alleged that the agent forged his wife’s signature on a document and feels this is a fraudulent action. While the annuity in question was not funded by securities, there was an allegation of forgery made against the financial representative who sold the annuity to the client. Bankers Life Securities, Inc. (BLS) reviewed the allegation by pulling all the documents signed by the client and comparing the signatures to the complaint letter. The firm found the signature on the documents that were signed through E-App and the signature on the complaint letter appeared to be signed by the same person and did not find merit to the allegation of forgery.
