Securities Lawyers Blog
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker John Mickelson (Mickelson), currently associated with Creativeone Securities, LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Mickelson concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.
FINRA BrokerCheck shows a pending customer complaint on January 21, 2025.
The Statement of Claim alleges RR recommended speculative alternative investments. Claimants allege RR recommended these investments for the purpose of generating high commissions and fees.
