Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Hecker (Hecker), previously associated with Park Avenue Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hecker recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on August 29, 2024.
Client alleges the RR made certain representations about the death benefit rider on a variable annuity purchased by the client, that turned out to be incorrect.
