Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Lucas (Lucas), previously associated with Transamerica Financial Advisors, Inc, has at least one disclosable event. These events include one customer complaint, alleging that Lucas 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 $165,460.00 on September 06, 2024.
Customer alleges that the representative informed him that his purchase amount would double in 10 years. The customer contacted the representative after confirming that this did not occur at the 10-year mark.
